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26
May

WARNING! Impending Investigation: GEORGE W. MONTGOMERY, FORTUNE FINANCIAL SERVICES, and UNITED PLANNERS FINANCIAL SERVICES OF AMERICA

George W. Montgomery, Fortune Financial Services, and United Planners Financial Services of America Have you lost money with financial advisor George W. Montgomery from Phoenix and Peoria, Arizona?  We are investigating allegations made by AZ Central and Verde Independent regarding George Montgomery.  It was alleged that George Montgomery was found dead from four gunshot wounds …
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26
May

WARNING! Impending Investigation: MARK A. SCHNEIDER and ETFs

Mark A. Schneider and ETFs   Have you lost money with financial advisor Mark A. Schneider from Topeka, Kansas? We are investigating allegations made by the Kansas Securities Commission against Mark Schneider.  The Kansas Securities Commission alleged that Schneider bought and sold a number of non-traditional ETFs, also known as inverse and leveraged ETFs.  These …
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22
May

WARNING! Impending Investigation–BROKER DEALER FINANCIAL SERVICES CORP. and ETFs

Broker Dealer Financial Services Corp. and ETFs   We are currently investigating allegations made against Broker Dealer Financial Services Corp., a West Des Moines, Iowa-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Broker Dealer Financial Services Corp., alleging that the firm did not adequately supervise the sales of …
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21
May

SECURITIES FRAUD and CRIMINAL CHARGES: Robert P. DePalo and Joshua B. Gladtke

SECURITIES FRAUD and CRIMINAL CHARGES:  Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Arjent LLC, Arjent Limited, Pangaea Trading Partners, and Excalibur Asset Management   The SEC has announced today that fraud charges are being brought against Robert P. DePalo and Joshua B. Gladtke for securities and investment fraud.  They were charged with violating …
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21
May

FORMER SEATTLE INVESTMENT ADVISOR PLEADS GUILTY TO FRAUD

Former Seattle Investment Advisor Pleads Guilty to Fraud Satyen Chatterjee, a former investment advisor from Seattle, recently pled guilty to wire fraud. According to the Sky Valley Chronicle and Seattle Times, Chatterjee pled guilty in the U.S. District Court in Seattle. Chatterjee owned and operated an investment advisory firm called Strategic Capital Management, Inc. It …
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19
May

WARNING! Impending Investigation–ARI FINANCIAL SERVICES and BRIDGEPORT OAKS FUND LLC

ARI Financial Services and Bridgeport Oaks Fund LLC Have you lost money in Bridgeport Oaks Fund LLC?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William B. Candler and ARI Financial Services.  FINRA alleges that William Candler, as the President and former Chief Compliance Officer of ARI Financial Services, failed …
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18
May

WARNING! Impending Investigation: ROBERT S. BEYER II, FORSYTH SECURITIES, and OAKBRIDGE FINANCIAL SERVICES

Robert S. Beyer II, Forsyth Securities, Inc. and Oakbridge Financial Services, Inc. Have you lost money with financial advisor Robert S. Beyer II from St. Louis, Missouri?  We are investigating allegations made by Missouri Securities Division against Robert Beyer.  Beyer was alleged to have stolen money from clients by selling them investments in his company, …
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15
May

WARNING! Impending Investigation–PHILIP L. GRASSO and ALLSTATE FINANCIAL SERVICES

Philip L. Grasso and Allstate Financial Services Have you lost money with financial advisor Philip L. Grasso of Fishkill, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Philip Grasso.  Grasso was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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15
May

WARNING! Impending Investigation–NICHOLAS H. HARPER and WELLS FARGO ADVISORS

Nicholas H. Harper and Wells Fargo Advisors Have you lost money with financial advisor Nicholas H. Harper of Topeka, Kansas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nicholas Harper.  Harper was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Harper …
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