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22
Nov

ALBERT DeGAETANO of Edward Jones Accused of Making Unauthorized Account Transactions

Losses with Robert Gleason Jr. of Cantella & Co. in Owenboro, KY
BRECKSVILLE, OHIO  Have you lost money with financial advisor Albert DeGaetano, formerly with Edward Jones in Brecksville, Ohio?  We are looking into allegations made against Albert DeGaetano. DeGaetano was suspended from the securities industry for six months and fined $7,500 by FINRA.  FINRA was investigating whether DeGaetano had exercised discretion in a customer’s account without …
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20
Nov

Investigation of LINA GARCIA and Insigneo Securities

Losses with Patty Dawson of Stifel Nicolaus in Ann Arbor, MI
MIAMI, FLORIDA Have you lost money with financial advisor Lina Garcia of Miami, Florida?  We are looking into allegations made by the Securities and Exchange Commission (SEC) against Lina Maria Garcia.  The SEC alleged that Garcia and her firm, UCB Financial Advisors, allocated profitable trades to themselves while allocating unprofitable trades to clients.  Ramiro Sugranes …
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18
Nov

DUSTIN WARD of OneAmerica and Woodbury Involved in Customer Losses in REITs

Losses with Kyle Baker of First Trust Portfolios in Wheaton, IL
St. LOUIS, MISSOURI  Have you lost money with financial advisor Dustin Ward, formerly with OneAmerica Securities and now with Woodbury Financial in St. Louis, Missouri?  We are looking into allegations made against Dustin K. Ward. Ward has been the subject of two customer complaints, which were made within the last year.  Both complaints allege losses …
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18
Nov

RICHARD ALLEN of Woodbury Financial Accused of Unsuitable Investments

Losses with Brian Scott Graham of Cetera Advisor Networks in Plainfield, IL
ALPINE, UTAH  Have you lost money with financial advisor Richard Allen, with Woodbury Financial in Alpine, Utah?  We are looking into allegations made against Richard Ray Allen. Allen has been the subject of two customer complaints, which were made within the last year.  One of the complaints alleges that Allen recommended investments in private placements …
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16
Nov

Complaints Against NICHOLAS JEMBELIS for Energy 11 Oil and Gas Losses

Losses with Richard Joseph Jackson of New York, NY
WHITE PLAINS, NEW YORK  Have you lost money with financial advisor Nicholas Jembelis, with David Lerner Associates in White Plains, New York?  We are looking into allegations made against Nicholas T. Jembelis. Jembelis has been the subject of a customer complaint, which was made within the last year.  The complaint alleges losses in Energy 11, …
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16
Nov

MATTHEW SILIATO Involved in Churning Accounts and Unauthorized Trading

Losses with Keith D'Agostino of Aegis Capital in Melville, NY
NEW YORK, NY  Have you lost money with financial advisor Matthew Siliato, formerly with Wynston Hill Capital in New York, New York?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority.  Earlier in 2021, FINRA barred Matthew Siliato after he failed to respond to an investigation.  FINRA was investigating …
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16
Nov

Losses with FRANK VAN HOUTEN of Raymond James in Northstar Financial

Losses with Patty Dawson of Stifel Nicolaus in Ann Arbor, MI
RESTON, VIRGINIA  Have you lost money with financial advisor Frank Van Houten, formerly with Raymond James Financial and now with Citigroup in Reston, Virginia?  We are looking into allegations made against Frank Van Houten. Van Houten has been the subject of a recent customer complaint.  The complaint alleges an unsuitable investment in an offshore product …
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15
Nov

DONNA HINES of Cetera Involved in FINRA Investigation

Losses with Chun Elmejjad of Equitable Advisors in Falls Church, VA
CLARKSBURG, WEST VIRGINIA  Have you lost money with financial advisor Donna Hines, formerly with Cetera Advisors in Clarksburg, West Virginia?  We are looking into allegations made against Donna Jean Hines.  Hines was barred from the securities industry by FINRA after she failed to respond to an investigation.  FINRA was investigating allegations that Hines facilitated a …
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10
Nov

AEGIS CAPITAL Ordered to Pay Customers for Excessively Trading Accounts

Losses with Michael Archimede of PFS Investments in Waukesha, WI
Have you lost money investing in variable annuities through Aegis Capital?  We are currently investigating allegations made against Aegis Capital, a New York, New York-based securities brokerage firm.  FINRA brought a regulatory action against the firm, alleging that its Melville, New York and Wall Street offices failed to adequately supervise advisors who were excessively trading …
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