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9
Apr

WARNING! Impending Investigation–LPL FINANCIAL and NON-TRADED REITs

LPL Financial and Non-traded REITs   Have you lost money investing in non-traded REITs through LPL Financial? We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  The New Hampshire Bureau of Securities Regulation fined LPL Financial $1.2 million for the sales of non-traded REITs (or real estate investment trusts) …
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8
Apr

WARNING! Impending Investigation–DANIEL R. MURPHY and CHADBOURN PARTNERS

Daniel R. Murphy and Chadbourn Partners Have you lost money with financial advisor Daniel R. Murphy from Jacksonville, Florida?  We are investigating allegations made by the SEC (Securities and Exchange Commission) and the Colorado Division of Securities against Daniel Murphy.  A regulatory complaint was brought against Murphy in August 2014, alleging that Murphy committed fraud …
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7
Apr

WARNING! Impending Investigation–JAMES E. NEILSEN, TRADITION ASIEL SECURITIES, SOUND SECURITIES, and LONGSHIP ALTERNATIVE ASSET MGMT.

JAMES E. NEILSEN, TRADITION ASIEL SECURITIES INC., SOUND SECURITIES, LLC, LONGSHIP ALTERNATIVE ASSET MANAGEMENT Have you suffered investment losses with JAMES E. NEILSEN, TRADITION ASIEL SECURITIES INC., SOUND SECURITIES, LLC, OR LONGSHIP ALTERNATIVE ASSET MANAGEMENT of Norwalk, Connecticut? We are currently investigating a March 31, 2015 Order entered by the Connecticut Bankruptcy Commission whereby James …
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6
Apr

WARNING! Impending Investigation–RONALD PAUL RAFALOFF and LIBERTY PARTNERS FINANCIAL SERVICES

Ronald Paul Rafaloff and Liberty Partners Financial Services Have you lost money with financial advisor Ronald Paul Rafaloff, a former investment advisor for Liberty Partners Financial Services?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Ronald Rafaloff. FINRA alleged that Rafaloff defrauded and exploited a 74 year old …
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3
Apr

WARNING! Impending Investigation–DOUGLAS J. DANNHARDT and PROSPERA FINANCIAL SERVICES INC.

Douglas J. Dannhardt and Prospera Financial Services Inc. Have you lost money with financial advisor Douglas J. Dannhardt from Dallas, Texas?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Dannhardt. FINRA alleged that Douglas Dannhardt made unsuitable recommendations to his customers to switch from one mutual fund to …
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2
Apr

WARNING! Impending Investigation–PAUL A. GODLEWSKI and ALLSTATE FINANCIAL SERVICES

Paul A. Godlewski and Allstate Financial Services Have you lost money with financial advisor Paul J. Godlewski of Coatesville, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul Godlewski.  Godlewski was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Godlewski …
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2
Apr

WARNING! Impending Investigation–JON L. COX and LPL FINANCIAL

Jon L. Cox and LPL Financial Have you lost money with financial advisor Jon L. Cox of Knoxville, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jon “Larry” Cox.  Cox was barred from the securities investigation after he failed to respond to a FINRA investigation.  FINRA was investigating Cox …
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2
Apr

WARNING! Impending Investigation–THOMPSON NATIONAL PROPERTIES and TNP SECURITIES

Thompson National Properties and TNP Securities Have you lost money with in investments with Thompson National Properties and TNP Securities?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against TNP Securities and Thompson National Properties former CEO Anthony Warren Thompson.  This week, Thompson was barred from the securities industry by FINRA, …
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2
Apr

WARNING! Impending Investigation–DANIEL P. GLAVIN and COUNTRY CAPITAL MANAGEMENT CO.

Daniel P. Glavin and Country Capital Management Company Have you lost money with financial advisor Daniel P. Glavin from Orland Park, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Glavin.  FINRA alleges that Glavin stole at least $45,000 from a customer.  He was alleged to have told a …
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