IQDAX Halts Investor Redemptions Have you invested in Infinity Q Diversified Alpha Investor Fund?  In February 2020, Infinity Q Diversified Alpha Investor Fund halted redemptions in its mutual fund, due to alleged fraud of the portfolio manager.  The Fund, which trades under the symbol IQDAX, forbid its chief investment officer from trading after discovery issues …
Read More "Infinity Q Diversified Alpha Investor Fund – FRAUD ALLEGATIONS"

CHARLESTON, SC Have you lost money with financial advisor Paul Halvorson of Charleston, South Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Halvorson after he failed to respond to an investigation.  FINRA was investigating Halvorson after he was terminated by his former brokerage firm, Morgan Stanley. Paul Halvorson …
Read More "Warning: PAUL HALVORSON of Morgan Stanley BARRED"

COLUMBIA, MD Have you lost money with financial advisor Jenny Xinfang Feng from Columbia, Maryland?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Jenny Feng. FINRA suspended Feng from the securities industry for 6 months and fined her $7,500.  Feng was being investigated regarding allegations she pretended to be …
Read More "Warning: JENNY FENG of TransAmerica Financial SUSPENDED"

NEW YORK, NY Have you lost money with financial advisor Minish Hede of New York, New York?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Minish Hede.  The SEC ordered Hede to disgorge $612,000, plus interest of $180,000, and a $65,000 penalty.  Hede was allegedly involved in soliciting investors to …
Read More "Investor Alert! MINISH HEDE of Paulson Investment SUED by SEC"

IRVINE, CA Have you lost money with financial advisor Howard Hao-Chung Hsieh (CRD# 4947882), of Cetera Investment Services, in Irvine, California?  We are investigating allegations of former customers related to Howard Hao-Chung Hsieh. Howard Hao-Chung Hsieh’s BrokerCheck report, a public record maintained by FINRA, states that Hsieh has been the subject of two customer complaints.  …
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ORLANDO, FL Have you lost money with financial advisor Valerie Idarraga Ceballos of Orlando, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Ceballos after she failed to respond to an investigation.  FINRA was investigating Ceballos after she was terminated by her former brokerage firm, Wells Fargo.  She was …
Read More "Warning: VALERIE IDARRAGA CEBALLOS of Wells Fargo BARRED"

Norcross, GA We are currently investigating allegations made against Triad Advisors, a Norcross, Georgia-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the firm, making allegations that it failed to adequately supervise the exchange of Class A mutual fund shares and variable annuity exchanges.  Because of the front-end load …
Read More "TRIAD ADVISORS Fined and Ordered to Pay RESTITUTION to Customers"

Boca Raton, FL Have you lost money with financial advisor Charles Bonilla from Boca Raton, Florida?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Charles Bonilla. FINRA suspended Bonilla from the securities industry for 5 months, fined him $5,000, and ordered him to disgorge $22,417 in commissions.  Bonilla was …
Read More "Warning: CHARLES BONILLA of David Lerner Associates SUSPENDED"

Portland, OR Have you lost money with financial advisor Lisa Brumm from Portland, Oregon?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Lisa Brumm. FINRA suspended Brumm from the securities industry for 6 months and fined her $7,500. Brumm was being investigated regarding allegations that she borrowed money from …
Read More "Warning: LISA BRUMM with AXA Advisors SUSPENDED"

Somersworth, NH Have you lost money with financial advisor Michael Paul Francoeur of Somersworth, New Hampshire?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Francoeur after he failed to respond to an investigation.  FINRA was investigating him after he was terminated by his former brokerage firm, Cambridge Investment Research, …
Read More "Warning: MICHAEL FRANCOEUR of Cambridge Investment is BARRED"