Jonathan Dudley, formerly with Centaurus Financial, Barred by FINRA Have you lost money with financial advisor Jonathan Dudley?  We are looking into allegations made about Jonathan H. Dudley from Atlanta, Georgia.  FINRA (the Financial Industry Regulatory Authority) barred Jonathan Dudley from the securities industry.  FINRA alleged that Jonathan Dudley failed to respond to its investigation.  …
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Israels & Neuman, PLC Investigates Matthew Buchsbaum, of UBS Financial Services Have you lost money with financial advisor Matthew S. Buchsbaum (CRD# 2220565), of UBS Financial Services, in Stamford, Connecticut?  We are investigating allegations of former customers related to Matthew Buchsbaum. Matthew Buchsbaum’s BrokerCheck report, a public record maintained by FINRA, states that Buchsbaum has …
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VALIC Financial Advisors Settles with FINRA for $350,000 Regarding Variable Annuities and Customer Complaints We are currently investigating allegations made against VALIC Financial Advisors, a Houston, Texas-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the brokerage firm (short for Variable Annuity Life Insurance Company) Financial Advisors, making allegations …
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Donald Pollard, formerly with CBC Securities, Suspended Two Months Have you lost money with financial advisor Donald Robert Pollard from Needham, Massachusetts?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Donald Pollard.  FINRA suspended Pollard for two months and fined him $10,000.  FINRA alleged that he backdated documents and …
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Sharon Snow, formerly with Edward Jones, Barred by FINRA Have you lost money with financial advisor Sharon Snow?  We are looking into allegations made about Sharon Snow from Fairfield Bay, Arkansas.  FINRA (the Financial Industry Regulatory Authority) barred Snow from the securities industry.  FINRA alleged that she failed to respond to its investigation.  Sharon Snow …
Read More "Warning: SHARON SNOW of Edward Jones is BARRED – Fairfield Bay, AR"

Dustin Shafer, formerly with Money Concepts Capital, Barred by FINRA Have you lost money with financial advisor Dustin Shafer?  We are looking into allegations made about Dustin P. Shafer from Springfield, Illinois.  FINRA (the Financial Industry Regulatory Authority) barred Dustin Shafer from the securities industry.  FINRA alleged that Dustin Shafer failed to respond to its …
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Highlands Ranch, CO & Lakewood, CO Howard Schwartz, formerly of Royal Alliance Associates, Subject of Missouri Complaint Have you lost money with financial advisor Howard Schwartz or Hal Schwartz of Highlands Ranch, Colorado?  We are looking into allegations made by the Missouri Securities Commission. Missouri alleged that Schwartz’s brokerage firm, DMK Advisor Group, failed to …
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Tacoma, WA Have you lost money with financial advisor Gary Wells of Tacoma, Washington?  We are investigating allegations made by the Washington Securities Division.   Washington alleged that Gary Wells accepted over $600,000 in benefits as the beneficiary of a former client’s estate, without disclosing such to his former brokerage firm, Wells Fargo.  Wells was also …
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David James Oldenburg, formerly with Horter Investment Management, Suspended by Wisconsin for Selling Woodbridge Fond Du Lac, WI Have you lost money with investment advisor David James Oldenburg of Fond Du Lac, Wisconsin?  We are looking into allegations made by the Wisconsin Department of Financial Institutions against David James Oldenburg.  Wisconsin alleged that Oldenburg sold …
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Angel Bardeche, formerly with Ameriprise Financial Services, Suspended Nine Months Have you lost money with financial advisor Angel Bardeche from Cincinnati, Ohio?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Angel Bardeche.  FINRA alleged that Angel Bardeche made unsuitable recommendations to 32 customers to switch from Class “A” shares …
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