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30
Jan

WARNING! Impending Investigation–JENNIFER TROWBRIDGE and ESSEX SECURITIES LLC

Jennifer Trowbridge and Essex Securities LLC Have you lost money with financial advisor Jennifer Trowbridge from Boca Raton, Florida?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Trowbridge. FINRA alleged that Jennifer Trowbridge made unsuitable recommendations to her customers to switch from Class “A” shares of one mutual …
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30
Jan

WARNING! Impending Investigation–DAVID J. BLASIK and PFS INVESTMENTS, INC.

David J. Blasik and PFS Investments Inc. Have you lost money with financial advisor David J. Blasik of Vandalia, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David Blasik.  Blasik agreed to be barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was …
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27
Jan

WARNING! Impending Investigation–GREGG A. BEEMER and LINCOLN INVESTMENT

Gregg A. Beemer and Lincoln Investment Have you lost money with financial advisor Gregg A. Beemer of Dayton, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gregg Beemer.  Beemer agreed to be barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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23
Jan

WARNING! Impending Investigation–MICHAEL T. LOMBARDO and DAVID LERNER ASSOCIATES, INC.

Michael T. Lombardo and David Lerner Associates, Inc. Have you lost money with financial advisor Michael T. Lombardo of Westport, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Michael T. Lombardo, who previously was affiliated with David Lerner Associates, Inc.  Lombardo pled guilty to wire fraud back in September …
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23
Jan

UPDATE! Investigation of DENNIS KARASIK and DIVERSIFIED ENERGY GROUP

Dennis Karasik and Diversified Energy Group Have you lost money investing with financial advisor Dennis Karasik from Parkton, Maryland? We are currently investigating allegations made against Dennis Karasik made by the Securities Exchange Commission (or SEC).  The SEC asked Karasik and a number of other individuals to cease and desist from selling securities of Diversified …
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20
Jan

WARNING! Impending Investigation–DANIEL H. GLICK and TRANSAMERICA FINANCIAL ADVISORS

Daniel H. Glick and TransAmerica Financial Advisors Have you lost money with financial advisor Daniel H. Glick from Orland Park, Illinois?  We are currently investigating claims made by FINRA, the Financial Industry Regulatory Authority.  Daniel Glick was barred by FINRA for failing to respond to an investigation.  FINRA was investigating Glick over allegations that he …
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17
Jan

WARNING! Impending Investigation–KIRSTEN FLYNN HAWKINS and SUNTRUST INVESTMENT SERVICES INC.

Kirsten Flynn Hawkins and SunTrust Investment Services Inc. Have you lost money with Kirsten Flynn Hawkins from Staunton, Virginia?  On January 16, 2015, Kirsten Hawkins pled guilty to three counts of wire fraud in the Western District of Virginia in Lynchburg.  Hawkins’ plea also called for restitution of $500,000 for victims, and her sentencing hearing …
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13
Jan

WARNING! Impending Investigation–WORTH FINANCIAL GROUP INC. and LIFE SETTLEMENT CONTRACTS

Worth Financial Group Inc. and Life Settlement Contracts   We are currently investigating allegations made against Worth Financial Group, Inc., a Dallas, Texas-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Worth Financial Group, alleging that it failed to establish and maintain an adequate supervisory system regarding the sales …
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2
Jan

WARNING! Impending Investigation–JONATHAN GREENFIELD and GWG RENEWABLE SECURED DEBENTURES

Jonathan Greenfield and GWG Renewable Secured Debentures Have you invested in GWG Renewable Secured Debentures?  We have previously written numerous blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors and brokerage firms who recommended that their clients invest in GWG debentures, because FINRA believes that these investments are speculative, …
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29
Dec

WARNING! Impending Investigation–FELTL & COMPANY and ETFs

Feltl & Company and ETFs   We are currently investigating allegations made against Feltl & Company, a Minneapolis, Minnesota-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Feltl & Company, alleging that Feltl failed to establish and maintain an adequate supervisory system regarding leveraged and inverse ETFs.  Feltl & …
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