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24
Jul

WARNING! Impending Investigation: PETER DOURDAS and QUESTAR CAPITAL CORP.

Peter Dourdas and Questar Capital Corp. Have you lost money with financial advisor Peter Dourdas of Syracuse, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Peter Dourdas. FINRA filed  a regulatory complaint seeking to bar Dourdas from the securities industry after he failed to respond to a FINRA …
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24
Jul

WARNING! Impending Investigation: RAINMAKER SECURITIES LLC and PRIVATE PLACEMENTS

Rainmaker Securities LLC and Private Placements   We are currently investigating allegations made against Rainmaker Securities, LLC, a Chicago, Illinois-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) filed a complaint against Rainmaker Securities and its President, Glen W. Anderson.  FINRA alleges that from 2011 to 2014, Rainmaker Securities and Glen Anderson failed to …
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16
Jul

UPDATE! JODIE L. MILLER, VALIC FINANCIAL ADVISORS, and LPL FINANCIAL

Jodie L. Miller, VALIC Financial Advisors, and LPL Financial Have you lost money with financial advisor Jodie L. Miller from Tampa, Florida?  We currently represent investors who lost money in investments with Tri-Med Corporation.  The claims were brought against the firms that Jodie Miller previously was affiliated with, including VALIC Financial Advisors and LPL Financial. …
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16
Jul

UPDATE! JEFFREY B. PIERCE and MIDAMERICA FINANCIAL SERVICES

Jeffrey B. Pierce and MidAmerica Financial Services   Have you lost money with financial advisor Jeffrey B. Pierce from Quincy, Massachusetts?  We previously blogged about Jeffrey Pierce, a former financial advisor with MidAmerica Financial Services.  FINRA (the Financial Industry Regulatory Authority) recently barred Pierce from the securities industry after he failed to respond to a …
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10
Jul

WARNING! Impending Investigation–GLOBAL ARENA CAPTIAL CORP. AND BONDS

Global Arena Capital Corp. and Bonds   We are currently investigating allegations made against Global Arena Capital Corp., a New York City-based securities brokerage firm.  The Alaska Division of Banking and Securities filed a complaint against Global Arena Capital, and six of its current or former principals, including former president Barbara Desiderio, Jonah Engler, Hector …
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8
Jul

WARNING! Impending Investigation: JEFFREY B. PIERCE and MIDAMERICA FINANCIAL SERVICES

Jeffrey B. Pierce and MidAmerica Financial Services   Have you lost money with financial advisor Jeffrey B. Pierce from Quincy, Massachusetts?  Jeffrey Pierce is the subject of an investigation by the Massachusetts Securities Division.  The Massachusetts Securities Division brought an administrative complaint, making numerous allegations against Jeffrey Pierce, including that he made unauthorized withdrawals from …
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3
Jul

WARNING! Impending Investigation: MALCOLM SEGAL, AEGIS CAPITAL CORP. and CUMBERLAND BROKERAGE CORP.

Malcolm Segal, Aegis Capital Corp., and Cumberland Brokerage Corp. Have you lost money with financial advisor Malcolm Segal of Langhorne, Pennsylvania?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Malcolm Segal.  According to a complaint filed by the SEC against Segal in the Eastern District of Pennsylvania, Segal ran a …
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2
Jul

WARNING! Impending Investigation: JOHN ALLEN BROWN and LPL FINANCIAL

John Allen Brown and LPL Financial Have you lost money with financial advisor John Allen Brown of Binghamton, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John Brown.  Brown was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Brown …
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