Albany, OH Have you lost money with financial advisor Lisa Stevenson of New Albany, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Stevenson after she failed to respond to an investigation.  FINRA was investigating Stevenson after she was terminated by her former brokerage firm, Huntington Investment Company, regarding …
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Princeton, NJ Have you lost money with financial advisor Manish Shah from Princeton, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Manish Shah. FINRA suspended Shah from the securities industry for 20 months and fined him $15,000. Shah was being investigated regarding allegations that he borrowed money …
Read More "Warning: MANISH SHAH of Northwestern Mutual SUSPENDED"

Allenstown, NH Have you lost money with financial advisor Karen McKinley of Allenstown, New Hampshire?  We are continuing to look into allegations made against Karen A. McKinley, formerly known as Karen Boggess.  The Securities and Exchange Commission barred McKinley from the securities industry, after she pleaded guilty for stealing money from an elderly customer. In …
Read More "UPDATE: Advisor KAREN MCKINLEY aka KAREN BOGGESS is BARRED"

Boston, MA Have you lost money with financial advisor Charles Kenahan of Boston, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Charles Kenahan after he failed to respond to an investigation.  FINRA was investigating him after he was terminated by his brokerage firm, Merrill Lynch. Charles Kenahan (CRD …
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Atlanta, GA Have you lost money with financial advisor Tyler Delahunt of Atlanta, Georgia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Delahunt after he failed to respond to an investigation.  FINRA was investigating Delahunt regarding allegations that he solicited clients in private securities transactions and accepted loans from …
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Amarillo, TX Have you lost money with financial advisor David Jenson of Amarillo, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Jenson after he failed to respond to an investigation.  FINRA was investigating Jenson regarding allegations that he made an unsuitable investment concentration in church bonds.  David Jenson, …
Read More "DAVID JENSON of Great Nation Investment Corp. is BARRED"

New York, NY Have you lost money with financial advisor Anthony Tricarico from New York, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Anthony Tricarico. FINRA suspended Tricarico from the securities industry for six months and fined him $5,000. Tricarico was being investigated regarding allegations that he …
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Brian Lockett, Formerly With Geneos Wealth Management And Now With Independent Financial Services, Suspended 45 Days By Washington Lynnwood, WA Have you lost money with financial advisor Brian Lockett of Lynnwood, Washington?  We are continuing to look into allegations made against Brian J. Lockett. In 2019, FINRA (the Financial Industry Regulatory Authority) suspended Lockett for …
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Fort Lauderdale, FL Bryan Mazliach, formerly with Laidlaw & Company and Westpark Capital, Barred by FINRA Have you lost money with financial advisor Bryan Mazliach from Fort Lauderdale, Florida?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against Bryan Mazliach. In 2020, FINRA filed a complaint against Mazliach …
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Charlotte, NC Gary Hammond, formerly with MSI Financial Services (MetLife Securities), Barred by FINRA Have you lost money with financial advisor Gary Hammond?  We are looking into allegations made about Gary W. Hammond from Charlotte, North Carolina.  FINRA (the Financial Industry Regulatory Authority) barred Gary Hammond from the securities industry.  FINRA alleged that He sold …
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