Chad Mackland, formerly with Northwestern Mutual, MML Investors Services, and Lion Street Financial, Barred from Securities Industry Have you lost money with financial advisor Chad Mackland of Council Bluffs, Iowa?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority after he failed to respond to an investigation.  Mackland has now been barred …
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WOODMERE, NY – Dalmore Group Losses Have you lost money investing in private placements through Dalmore Group?  We are currently investigating allegations made against Dalmore Group LLC, a Woodmere, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the firm, making allegations that it failed to perform adequate …
Read More "ALERT! Dalmore Group Settles Regarding Private Placement Losses"

LOS ANGELES, CALIFORNIA Have you lost money with financial advisor Trevor Rahn from Los Angeles, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Trevor B. Rahn. FINRA suspended Rahn from the securities industry for eighteen months and fined him $10,000.  Rahn was being investigated regarding allegations that he …
Read More "Alert: TREVOR RAHN of J.P. Morgan is SUSPENDED"

NEW YORK, NY Have you lost money with financial advisor Edmund Zack from New York, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Edmund R. Zack. FINRA suspended Zack from the securities industry for eighteen months, fined him $10,000, and ordered disgorgement of $5,161.  Zack was being …
Read More "EDMUND ZACK of Aegis Capital is SUSPENDED"

NEW YORK, NY Have you lost money with financial advisor Kishan Parikh from New York, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Kishan Parikh. Parikh was being investigated regarding allegations that he engaged in unsuitable and excessive trading (churning) in customers’ accounts.  FINRA alleged that five …
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ROSEVILLE, CALIFORNIA The Logan Group Securities Settles with FINRA Over Variable Annuities Have you lost money investing in variable annuities through The Logan Group Securities?  We are currently investigating allegations made against the Roseville, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the firm, making allegations that it …
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NEW YORK, NY Have you lost money with financial advisor Tonya Smoake from New York, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Tonya Smoake. FINRA suspended Smoake from the securities industry for twelve months and fined her $5,000.  Smoake was being investigated regarding allegations that she …
Read More "Warning: TONYA SMOAKE of Purshe Kaplan SUSPENDED"

Israels & Neuman, PLC Investigates John Krohn, Formerly of Principal Securities Have you lost money with financial advisor John Krohn (CRD# 2722975), formerly of Principal Securities, in West Des Moines, Iowa?  We are investigating allegations of former customers related to John Krohn. John Krohn’s BrokerCheck report, a public record maintained by FINRA, states that Krohn …
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BEND, OREGON Have you lost money with financial advisor Gary Dodds from Bend, Oregon?  We are continuing to look into allegations made by the Oregon Department of Financial Regulation against Dodds. In 2020, Oregon alleged that Gary Dodds engaged in unsuitable and excessive trading in customer accounts, including in elderly customers’ accounts.  Oregon also alleged …
Read More "GARY DODDS of Raymond James ORDERED to Pay Clients Restitution"

MISSION VIEJO, CALIFORNIA Have you lost money with financial advisor Jeffrey Stanga from Mission Viejo, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Jeffrey Stanga. FINRA suspended Stanga from the securities industry for twelve months, fined him $10,000, and ordered him to disgorge $28,359.  Stanga was being investigated …
Read More "Investigation of JEFFREY STANGA of FMN Capital"