Vonna Husby, formerly with Raymond James Financial, Barred by FINRA Have you lost money with financial advisor Vonna Husby?  We are looking into allegations made about Vonna K. Husby from Fairbanks, Alaska.  FINRA (the Financial Industry Regulatory Authority) barred Husby from the securities industry.  FINRA alleged that Husby failed to respond to its investigation.  Husby …
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Lewis Lester, previously with Olden Lane Securities, Suspended by FINRA Have you lost money with financial advisor Lewis Lester?  We are looking into allegations made about Lewis N. Lester from Bridgewater, New Jersey.  FINRA (the Financial Industry Regulatory Authority) suspended Lester from the securities industry for twelve months and fined him $5,000.  FINRA was investigating …
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Cynthia Cowden, formerly with NPB Financial Group, Barred by FINRA Have you lost money with financial advisor Cynthia Cowden?  We are looking into allegations made about Cynthia D. Cowden from Lake Isabella, California.  FINRA (the Financial Industry Regulatory Authority) barred Cowden from the securities industry.  FINRA alleged that Cowden sold unsuitable non-traded REITs (real estate …
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James Couture, formerly with LPL Financial, Barred by FINRA Have you lost money with financial advisor James Couture?  We are looking into allegations made about James K. Couture from Worcester, Massachusetts.  FINRA (the Financial Industry Regulatory Authority) barred Couture from the securities industry.  FINRA alleged that Couture has failed to respond to its investigation.  Couture …
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Troy Baily, previously with SagePoint Financial, Suspended by FINRA Have you lost money with financial advisor Troy Baily?  We are looking into allegations made about Troy R. Baily from Omaha, Nebraska.  FINRA (the Financial Industry Regulatory Authority) suspended Baily from the securities industry for six months and fined him $5,000.  FINRA was investigating Baily after …
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Conrad Coggeshall, formerly with Packerland Brokerage Services, Subject of Arizona Complaint Have you lost money with financial advisor Conrad Coggeshall of Scottsdale, Arizona?  We are investigating allegations made the Arizona Corporation Commission against Coggeshall.  Arizona alleged that Coggeshall raised funds for investments in Business Owners Tax Relief (BOTR) but really used investor funds for personal …
Read More "COMPLAINTS Against CONRAD COGGESHALL – Scottsdale, AZ"

Troy Baily, previously with SagePoint Financial, Suspended by FINRA Have you lost money with financial advisor Troy Baily?  We are looking into allegations made about Troy R. Baily from Omaha, Nebraska.  FINRA (the Financial Industry Regulatory Authority) suspended Baily from the securities industry for six months and fined him $5,000.  FINRA was investigating Baily after …
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Christopher Fernan, formerly with Salomon Whitney Financial, Barred by FINRA Have you lost money with financial advisor Christopher Fernan?  We are looking into allegations made about Christopher A. Fernan from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) barred Fernan from the securities industry.  FINRA alleged that Fernan has failed to respond to its …
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Pratul Agnihotri, Formerly with Spartan Capital Securities and Aegis Capital, Suspended by FINRA Have you lost money with financial advisor Pratul V, Agnihotri from New York, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Pratul Agnihotri. FINRA filed a complaint against Agnihotri regarding allegations while he was …
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Sean Refsnider, Formerly with Ameriprise Financial Services, Barred from Securities Industry Have you lost money with financial advisor Sean Refsnider?  We are continuing to look into allegations made about Sean Michael Refsnider from Haddon Heights, New Jersey.  In April 2020, FINRA (the Financial Industry Regulatory Authority) sought to bar Refsnider from the securities industry.  FINRA …
Read More "UPDATE: SEAN REFSNIDER / Ameriprise BARRED – Haddon Heights, NJ"