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1
Jul

WARNING! Impending Investigation: JEFFERY D. DAGGETT

Jeffery D. Daggett, ETFs, and Exchange Traded Funds   Have you lost money with financial advisor Jeffery Daggett from Temecula, California? We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Jeffery Daggett (also spelled Jeffrey Daggett).  FINRA alleged that Daggett bought and sold a number of non-traditional ETFs, also known …
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1
Jul

WARNING! Impending Investigation: ALPHABRIDGE CAPITAL MANAGEMENT

Losses with AlphaBridge Capital Management? Have you lost money investing in the AlphaBridge Fixed Income Master Fund, AlphaBridge Fixed Income Fund, or the AlphaBridge Fixed Income Partners, LP?  We are investing allegations made by the Securities and Exchange Commission (SEC) against the investment adviser of these funds, AlphaBridge Capital Management LLC (or “ACM”).  According to …
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24
Jun

UPDATE! Investigation of VITO J. BALSAMO and NATIONAL SECURITIES CORP.

Vito J. Balsamo and National Securities Corp. Have you lost money with financial advisor Vito J. Balsamo of New York City?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Vito Balsamo.  FINRA barred Vito Balsamo from the securities industry after he failed to respond to a FINRA investigation.  FINRA investigated …
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24
Jun

WARNING! Impending Investigation: RICHARD E. WHITLEY and H.D. VEST INVESTMENT SERVICES

Richard E. Whitley and H.D. Vest Investment Services Have you lost money with financial advisor Richard E. Whitley of Elkin, North Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard Whitley.  Whitley was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was …
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24
Jun

WARNING! Impending Investigation: CRAIG L. JOSEPHBERG and EXCESSIVE TRADING

Craig L. Josephberg, and Excessive Trading   We are currently investigating allegations made against Craig L. Josephberg, a financial advisor from New York City.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Josephberg making various allegations, including that a) he introduced his brokerage firm, Halcyon Cabot Partners, to an institutional investor …
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18
Jun

WARNING! Impending Investigation: ANTHONY G. EPPS and NY LIFE DISTRIBUTORS

Anthony G. Epps and NY Life Distributors Have you lost money with financial advisor Anthony L. Epps of White Plains and Sleepy Hollow, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony Epps.  Epps was suspended from the securities industry for one year following FINRA’s investigation regarding selling …
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17
Jun

WARNING! Impending Investigation: WILLIAM BENTON GUIDO and FSC SECURITIES CORPORATION

Israels & Neuman, PLC Investigates Orders Entered by the Securities Commissioner of South Carolina and The Alabama Securities Commission Related to William Benton Guido and Regulatory Actions Taken While He Was Registered With FSC Securities Corporation.   Have you lost money with William Benton Guido, FSC Securities Corporation, and LPL Financial, LLC?   On January …
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16
Jun

WARNING! Impending Investigation: JULIUS F. KENNEY and LPL FINANCIAL

Julius F. Kenney IV and LPL Financial Have you lost money with financial advisor Julius F. Kenney IV of Calhoun, Georgia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Julius Kenney.  Kenney was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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