CONCORD, NEW HAMPSHIRE Have you lost money with financial advisor Gilbert Cox of Concord, New Hampshire?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Gilbert Cox after he failed to respond to an investigation.  FINRA was investigating Cox regarding his alleged involvement in outside business activities. Gilbert Cox was …
Read More "Warning: GILBERT COX of Citizens Securities Is Now BARRED"

MELVILLE, NEW YORK Have you lost money with financial advisor Abdul Rahmani?  We are investigation allegations made about Abdul M. Rahmani from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) seeks to punish Rahmani.  FINRA alleges that Rahmani engaged in an outside business activity without disclosing such to his former brokerage firm, Joseph Stone …
Read More "COMPLAINTS Against ABDUL RAHMANI of Joseph Stone"

CORAL SPRINGS, FLORIDA Have you lost money with financial advisor Michael Dellaporta Jr. of Coral Springs, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Michael Dellaporta after he failed to respond to an investigation.  FINRA was investigating Dellaporta regarding his alleged involvement in outside business activities. Michael Dellaporta …
Read More "Warning: MICHAEL DELLAPORTA of Fusion Analytics Is Now BARRED"

NEW YORK, NY Have you lost money with financial advisor Joseph Ambrosole of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joseph Ambrosole.  FINRA suspended Ambrosole for six months, fined him $5,000, and ordered him to pay restitution of $147,031.  FINRA was investigating Ambrosole regarding allegations …
Read More "UPDATE! Joseph Ambrosole of Joseph Stone SUSPENDED"

ATLANTA, GEORGIA Have you lost money with financial advisor Joia Evans of Atlanta, Georgia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Joia Evans after she failed to respond to an investigation.  FINRA was investigating Evans regarding her alleged involvement in outside business activities. Joia Evans was a financial …
Read More "Warning: JOIA EVANS of TIAA-CREF is Now BARRED"

NEWPORT BEACH, CALIFORNIA Have you lost money with financial advisor Gregory McCloskey of Newport Beach, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Gregory McCloskey regarding allegations that he engaged in private securities transactions.  McCloskey was alleged to have sold investments in a wireless network company.  Gregory McCloskey …
Read More "Investigation of GREGORY McCLOSKEY / Westpark Capital"

SAN DIEGO, CALIFORNIA We are currently investigating allegations made against Independent Financial Group, a San Diego, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Independent Financial Group, making allegations that it failed to adequately supervise a registered representative.  In particular, the representative recommended a concentration of speculative and …
Read More "INDEPENDENT FINANCIAL Fined $200,000 for REIT Sales"

FENTON, MICHIGAN Have you lost money with financial advisor Candice Montie from Fenton, Michigan?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Candice Montie.  Montie was being investigated regarding allegations that she sold investments in GWG Holdings without permission from her brokerage firm, Moloney Securities.  Specifically, Montie had sold …
Read More "Warning: CANDICE MONTIE of Moloney Securities SUSPENDED"

FRANKFORT, INDIANA Have you lost money with financial advisor Alan Price?  We are investigating allegations made about Alan Price from Frankfort, Indiana.  FINRA (the Financial Industry Regulatory Authority) seeks to bar Price from the securities industry.  FINRA alleges that Price failed to respond to its investigation after he allegedly borrowed money from a customer.  Unless …
Read More "COMPLAINTS Against ALAN PRICE of Edward Jones"

MANKATO, MINNESOTA Have you lost money with financial advisor Joseph Michaletz, formerly of Triad Advisors and Concorde Investment Services in Mankato, Minnesota?  We are looking into allegations made against Joseph Michaletz. Joseph Michaletz has been the subject of twelve customer complaints, many of them alleging unsuitable recommendations to invest in private placements, including GPB Capital.  …
Read More "Investigation of Financial Advisor JOSEPH MICHALETZ"