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10
Dec

DANIEL JAMES O’NEILL of Aegis is SUSPENDED for Excessive Trading

MELVILLE, NY Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts.  …
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6
Dec

Have you lost money with ERIC WILLER of Fusion Analytics?

Losses with Michael Young of Classic Asset Management in Fargo, ND
DALLAS, TEXAS We are investigating allegations made by FINRA, the FINRA, the Financial Industry Regulatory Authority, against Eric Carl Willer.  FINRA suspended Willer from the securities industry for nine months.  It was alleged that Willer recommended to 13 potential investors to purchase bonds in two private placements without having a reasonable basis to believe that …
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2
Dec

Investigation of JASON GAROFALO and Ameriprise Financial

Losses with John Kasel of US Bancorp in Seattle, WA
LAS VEGAS, NEVADA Have you lost money with financial advisor Jason Garofalo, with Ameriprise Financial Services, in Las Vegas, Nevada?  We are looking into allegations made against Jason Garofalo. Garofalo has been the subject of a recent customer complaint.  Garofalo was alleged to have sold unsuitable investments in non-traded REITs (real estate investment trusts) like …
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1
Dec

Warning! DOUGLAS ROSENBERG of Joseph Stone is SUSPENDED

Losses with Andrew Schell of DA Davidson in Colorado Springs, CO
HAUPPAUGE, NEW YORK  Have you lost money with financial advisor Douglas Rosenberg, with Joseph Stone Capital in Hauppauge, New York?  We are looking into allegations made against Douglas J. Rosenberg. Rosenberg was the subject of an investigation by FINRA.  FINRA investigated whether Rosenberg had been excessively trading or churning customer accounts.  To settle these allegations, …
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1
Dec

Losses With JESUS RODRIGUEZ of Morgan Stanley in El Paso, TX?

Jesus Rodriguez of Morgan Stanley in El Paso, TX Accused of Fraud
EL PASO, TEXAS Have you lost money with financial advisor Jesus Rodriguez, formerly with Morgan Stanley, in El Paso, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jesus Rodriguez, formerly Jesus Reyes. FINRA barred Rodriguez from the securities industry after he failed to respond to a FINRA investigation.  FINRA …
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30
Nov

ROBERT GUIDICIPIETRO of Arive Capital Accused of CHURNING

Losses with Dusty Sternadel of Ameriprise Financial in Wichita Falls, TX
BAY RIDGE, NEW YORK  Have you lost money with financial advisor Robert Guidicipietro, formerly with Arive Capital Markets in Bay Ridge, New York?  We are looking into allegations made against Robert Guidicipietro. Guidicipietro was suspended from the securities industry for four months, fined $5,000, and ordered to pay $35,219 in restitution by FINRA.  FINRA was …
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30
Nov

DOUG MAURER of Ascendant SUSPENDED for Horizon Edu. Sales

Losses with Gregory Corrie of Cambridge Investment Research in Boise, ID
LAGUNA NIGUEL, CALIFORNIA  Have you lost money with financial advisor Aaron Douglas Maurer, formerly with Ascendant Alternative Strategies, in Laguna Niguel, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Doug Maurer. FINRA suspended Maurer from the securities industry for two years and fined him $10,000. FINRA was investigating Aaron …
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29
Nov

Investment Fraud Law Firm Investigates MICHAEL WAGNER of Morgan Stanley

Losses with Andrew Schell of DA Davidson in Colorado Springs, CO
ATLANTA, GEORGIA  Have you lost money with financial advisor Michael Wagner, of Morgan Stanley in Atlanta, Georgia?  We are looking into allegations made against Michael Wagner, who has been the subject of three customer complaints, all of which were filed since November 2020.  The customers alleged that Wagner recommended an unsuitable options strategy.  The complaints …
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29
Nov

WARNING: Investigation of MARIANNE SMITH of Cetera Advisors

Losses with John Kasel of US Bancorp in Seattle, WA
AVON, CONNECTICUT  Have you lost money with financial advisor Marianne Smith, formerly of Cetera Advisors in Avon, Connecticut?  We are looking into allegations made against Marianne Oshee Smith. FINRA began investigating Smith regarding allegations that she converted $43,900 from a customer.  The funds were alleged to have been used to purchase mutual funds for Smith’s …
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