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24
Apr

WARNING! Impending Investigation–RBC CAPITAL MARKETS and REVERSE CONVERTIBLES

RBC Capital Markets and Reverse Convertibles   We are currently investigating allegations made against RBC Capital Markets, a New York, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against RBC Capital Markets, alleging that it failed to reasonably supervise the sales of reverse convertibles.  To settle these allegations, …
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23
Apr

WARNING! Impending Investigation–DANIEL GRIECO and ETFs

Daniel Grieco and ETFs   We are currently investigating allegations made against Daniel Grieco, a financial advisor from Eatontown, New Jersey.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Daniel Grieco, alleging that he sold non-traditional (leveraged and inverse) ETFs to his customers, from 2008 to 2013. The ETFs were held for …
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23
Apr

FOR IMMEDIATE RELEASE: Israels & Neuman, PLC Launches Investigation Into BPZ Resources Bankruptcy Filing

FOR IMMEDIATE RELEASE:  Israels & Neuman, PLC Launches Investigation Into BPZ Resources Bankruptcy Filing   Israels & Neuman, PLC, is a securities fraud law firm with offices in Denver and the Seattle area.  We hereby announce that we have launched an independent investigation into the bankruptcy filing of BPZ Resources, Inc. (BPZRQ and/or BPZ) and …
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23
Apr

FOR IMMEDIATE RELEASE: Israels & Neuman, PLC Launches Investigation Into Quicksilver Resources, Inc. Bankruptcy Filing

FOR IMMEDIATE RELEASE:  Israels & Neuman, PLC Launches Investigation Into Quicksilver Resources, Inc. Bankruptcy Filing Israels & Neuman, PLC, is a securities fraud law firm with offices in Denver and the Seattle-area.  We hereby announce that we have launched an independent investigation into the bankruptcy filing of Quicksilver Resources, Inc. (KWKAQ, KWKA, and/or KWK) and …
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17
Apr

WARNING! Impending Investigation–MICHAEL OPPENHEIM and J.P. MORGAN SECURITIES

Michael Oppenheim and J.P. Morgan Securities Have you lost money with financial advisor Michael Oppenheim from New York?  We are investigating allegations made by the U.S. Attorney for the Southern District of New York, who charged Michael Oppenheim with wire fraud, embezzlement, and securities fraud on April 15, 2015.  Oppenheim is accused of stealing $20 …
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16
Apr

WARNING! Impending Investigation–PHILIP E. BRUNSON and WELLS FARGO ADVISORS

Philip E. Brunson and Wells Fargo Advisors Have you lost money with financial advisor Philip E. Brunson of Champaign, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Philip Brunson.  Brunson agreed to be barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was …
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16
Apr

UPDATE! KGTA PETROLEUM, JEFFREY GAINER, JERRY CICOLANI, KELLY HOOD and PRIMESOLUTIONS SECURITIES

KGTA Petroleum, Jeffrey Gainer, Jerry Cicolani, Kelly Hood, and PrimeSolutions Securities Have you lost money in KGTA Petroleum?  We are currently investigating allegations made by the FBI, IRS, and the U.S. Attorney’s Cleveland office regarding Akron, Ohio-based KGTA Petroleum.  On December 8, 2014, criminal charges were brought against KGTA Petroleum co-owner and operator Kenneth A. …
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15
Apr

WARNING! Impending Investigation–VITO BALSAMO and NATIONAL SECURITIES CORPORATION

Vito Balsamo and National Securities Corporation 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 is investigating Balsamo for allegations that he engaged in outside business activities without notifying his firm, National Securities Corporation.  …
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10
Apr

WARNING! Impending Investigation–DOUGLAS W. FINLAY JR. and CADARET GRANT & COMPANY

Douglas W. Finlay Jr. and Cadaret Grant & Company Have you lost money with financial advisor Douglas W. Finlay Jr.?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Douglas Finlay, Jr., from Point Pleasant, New Jersey.  FINRA alleges that Finlay concentrated a customer’s portfolio in illiquid, non-traded REITs (real estate …
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9
Apr

WARNING! Impending Investigation–PERRY S. ABBONIZIO and WELLS FARGO ADVISORS

Perry S. Abbonizio and Wells Fargo Advisors Have you lost money with financial advisor Perry Stephen Abbonizio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Perry Abbonizio, from Conshohocken, Pennsylvania.  FINRA alleges that Abbonizio participated in private securities transactions without approval from his securities brokerage firm, Wells Fargo Advisors.  FINRA …
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