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20
Mar

WARNING! Impending Investigation–TIMOTHY D. MORAN, FSC SECURITIES CORP. and HAMPTON CAPITAL MARKETS

Timothy D. Moran, FSC Securities Corporation, and Hampton Capital Markets Have you lost money with financial advisor Timothy D. Moran?  We are investigating allegations made by the Arizona Corporation Commission against Timothy D. Moran, who is a financial advisor from Scottsdale, Arizona.  Moran had his securities licensed revoked because of his connection with a private …
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19
Mar

WARNING! Impending Investigation–SALVATORE GIOE, PHX FINANCIAL, and LEGEND SECURITIES

Salvatore Gioe, PHX Financial, and Legend Securities Have you lost money with financial advisor Salvatore Gioe?  We are investigating allegations made by the Arkansas Securities Department against Salvatore Gioe, from New York, New York.  The Arkansas Securities Department recently suspended Gioe for one year for a failure to abide by a previous regulatory order.  Under …
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19
Mar

WARNING! Impending Investigation–LOENID YUROVSKY and ETFs

Leonid Yurovsky and ETFs   We are currently investigating allegations made against Leonid Yurovsky, a financial advisor from New York, New York.  The Arkansas Securities Department brought a regulatory action against Leonid Yurovsky, alleging that he made excessive trades (or churned) a customer’s account, charging over $106,000 in commissions in a 19-month period from March …
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13
Mar

PRESS RELEASE! CNL Lifestyle Properties REIT Announces Significant Drop in Value

CNL Lifestyle Properties REIT Announces Significant Drop in Value In a recent filing with the Securities and Exchange Commission (SEC), CNL Lifestyle Properties, a non-traded REIT or Real Estate Investment Trust, announced that the net asset value (NAV) of its shares dropped 24%.  The NAV dropped from $6.85 in 2013 to $5.20 currently.  CNL Lifestyle …
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12
Mar

WARNING! Impending Investigation–DALE R. ISAAK, SECURITIES SERVICE NETWORK and ETFs

Dale R. Isaak, Securities Service Network Inc., and ETFs   We are currently investigating allegations made against Securities Service Network Inc., a Knoxville, Tennessee-based securities brokerage firm.  The Missouri Securities Division (MSD) brought a regulatory action against Securities Service Networks, making numerous allegations regarding its conduct, including its failure to supervise a financial advisor, Dale …
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11
Mar

WARNING! Impending Investigation–BART J. ELLIS and AMERIPRISE FINANCIAL SERVICES

Bart J. Ellis and Ameriprise Financial Services Have you lost money with financial advisor Bart J. Ellis of the Chicagoland area?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Bart Ellis.  Ellis was barred from the securities industry after failing to respond to a FINRA investigation regarding unauthorized trades made …
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9
Mar

UPDATE! Redonda Russell Barred from the Securities Industry

Redonda Russell and First Command Financial Planning We are continuing to investigate allegations made against Redonda Russell of Fort Worth, Texas.  In 2014, Redonda Russell pled guilty to wire fraud charges, in connection with stealing more than $316,000 from clients.  Redonda Russell was alleged to have located lists of clients with inactive accounts and life …
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9
Mar

WARNING! Impending Investigation–DANIEL G. RETZKE and EDWARD JONES

Daniel G. Retzke and Edward Jones Have you lost money with financial advisor Daniel G. Retzke of Freeport, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Retzke.  Retzke agreed to be barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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5
Mar

WARNING! Impending Investigation–BRIAN S. EXFORD and IBN FINANCIAL SERVICES

Brian S. Exford and IBN Financial Services Have you lost money with financial advisor Brian S. Exford from Rochester, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian Exford.  Exford was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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