Infinity Financial Services Fined $35,000 for Supervisory Failures Infinity Financial Services, (CRD 144302) a securities brokerage firm based out of Oakland, California, was recently fined $35,000 for supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that between March 2014 and April 2017, the brokerage firm failed to establish adequate procedures to conduct required background …
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Kim Millman, formerly with Park Avenue Securities, Suspended by FINRA Have you lost money with financial advisor Kim Millman?  We are looking into allegations made about Kim Millman from Armonk, New York.  FINRA (the Financial Industry Regulatory Authority) suspended Millman from the securities industry for eight months and fined her $10,000.  FINRA alleged that Millman …
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Michael Magill, formerly with Foreside Fund Services, Barred by FINRA Have you lost money with financial advisor Michael Magill?  We are looking into allegations made about Michael E. Magill from Boca Raton, Florida.  FINRA (the Financial Industry Regulatory Authority) barred Michael Magill from the securities industry.  FINRA alleged that Michael Magill engaged in private securities …
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Robert Halldin, formerly with American Portfolios Financial Services, Barred by FINRA Have you lost money with financial advisor Robert Halldin?  We are looking into allegations made about Robert J. Halldin from Newington, Connecticut.  FINRA (the Financial Industry Regulatory Authority) barred Robert Halldin from the securities industry.  FINRA alleged that Robert Halldin failed to respond to …
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Raymond Thomas, formerly with Network 1 Financial, Barred by FINRA Have you lost money with financial advisor Raymond Thomas?  We are looking into allegations made about Raymond Alexander Thomas from Brooklyn, New York.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that Thomas engaged in an outside business activity …
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Robert Todd Seth, formerly with D.H. Hill Advisors, Subject of SEC Complaint Have you lost money with investment advisor Robert Todd Seth of Georgetown, Texas?  We are looking into allegations made by the Securities and Exchange Commission (SEC) against Seth.  The SEC alleged that Todd Seth solicited investors to invest in 1 Global Capital.  Seth …
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Charles Stevens, Formerly with D.H. Hill Securities, Subject of FINRA Complaint Have you lost money with financial advisor Charles T. Stevens (CRD# 1698058) of D.H. Hill Securities in Humble, Texas?  FINRA (the Financial Industry Regulatory Authority) filed a complaint against Charles Stevens, alleging that he failed to timely disclose 19 federal tax liens against him, …
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Joseph Alhadeff, formerly with National Securities Corp., Barred by FINRA Have you lost money with financial advisor Joseph Alhadeff?  We are looking into allegations made about Joseph V. Alhadeff from New York, New York.  FINRA (the Financial Industry Regulatory Authority) barred Joseph Alhadeff from the securities industry.  FINRA alleged that Joseph Alhadeff failed to respond …
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Israels & Neuman, PLC Investigates Vonna Kay Husby, Formerly of Raymond James Have you lost money with financial advisor Vonna Kay Husby, formerly of Raymond James in Fairbanks, Alaska?  We are continuing to look into allegations made against Vonna Husby. Vonna Husby tried to get records expunged from her CRD report.  In particular, she tried …
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Edward Matthes, formerly with Mutual of Omaha Investor Services, Pleads Guilty to Fraud Have you lost money with financial advisor Edward Matthes of Oconomowoc, Wisconsin?  We are continuing to look into allegations made against Edward E. Matthes.  Matthes recently pleaded guilty to defrauding customers out of $2.6 million, most of which were elderly. The Securities …
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