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Jan

Losses with MICHAEL NIXON and Steepener Notes – Tampa, FL

Losses with Elan Sanker of Merrill Lynch in Pennington, NJ
TAMPA, FLORIDA Have you lost money with financial advisor Michael Nixon, formerly with Paulson Investment Company in Tampa, Florida?  We are looking into allegations made against Michael P. Nixon. Nixon has been the subject of an investigation by FINRA.  FINRA investigated Nixon regarding allegations that he sold unsuitable investments in Steepener Notes.  FINRA alleged that …
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29
Dec

Investigation of Randy Mason of Cetera and Parkland Securities

Losses with Michael Young of Classic Asset Management in Fargo, ND
CENTENNIAL, COLORADO Have you lost money with financial advisor Randy Mason, previously with Parkland Securities and now with Cetera Advisors in Centennial, Colorado?  We are looking into allegations made against Randall Mason aka Randy J. Mason, who has been the subject of one customer complaint, which was made within the last year.  The most recent …
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28
Dec

Investigation of JAN EARL HAYNES of Centaurus and Integrity Brokerage

Investment losses with Jan Earl Haynes of Integrity Brokerage and Centaurus in La Jolla, CA
LA JOLLA, CALIFORNIA Have you lost money with financial advisor Jan Earl Haynes, formerly with Centaurus Financial and Integrity Brokerage Services in La Jolla, California?  We are looking into allegations made against Jan Earl Haynes. Haynes has been the subject of thirteen customer complaints, two of which were made within the last year.  The recent …
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26
Dec

Investigation of GERALD O’HALLORAN and Kovack Securities

Losses with Lorraine Gallette of Coastal Equities in El Dorado Springs, MO
PUNTA GORDA, FLORIDA  Have you lost money with financial advisor Gerald O’Halloran, formerly with Kovack Securities and now with Union Capital Company in Punta Gorda, Florida?  We are looking into allegations made against Gerald O’Halloran. O’Halloran has been the subject of ten customer complaints, one which was made within the last year.  The most recent …
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26
Dec

Complaints Against DONALD KOWALSKY of Questar Capital

Losses with Roy Kevin Williams of Stifel Nicolaus in Indianapolis, IN
ATLANTA, GEORGIA  Have you lost money with financial advisor Donald Kowalsky, formerly with Questar Capital and now with Cambridge Investment Research in Atlanta, Georgia?  We are looking into allegations made against Donald K. Kowalsky. Kowalsky has been the subject of four customer complaints, one which was made within the last year.  The recent complaint alleges …
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23
Dec

WARNING! Scott Kaufman of LPL Financial is Now BARRED

Losses with Richard Joseph Jackson of New York, NY
WYOMISSING, PA Have you lost money with financial advisor Scott Kaufman of Wyomissing, Pennsylvania?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Scott Alan Kaufman.  FINRA has barred Kaufman from the securities industry after he failed to respond to an investigation.  FINRA alleged that Kaufman used a fixed income …
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22
Dec

KELLY THOMASON of OFG Financial Under Investigation

Losses with Schad Brannon of United Capital and Debt Box in Los Angeles, CA
OVERLAND PARK, KANSAS  Have you lost money with financial advisor Kelly Thomason, formerly of OFG Financial Services in Overland Park, Kansas?  We are looking into allegations made against Kelly Thomason. FINRA began investigating Thomason regarding allegations that she took loans from customers.  Thomason was also terminated in November 2021 by OFG Financial Services regarding the …
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