Jeffrey Broten, formerly with First Standard Financial Company, Barred by FINRA Have you lost money with financial advisor Jeffrey Broten?  We are looking into allegations made about Jeffrey A. Broten from Red Bank, New Jersey.  FINRA (the Financial Industry Regulatory Authority) barred Broten from the securities industry.  FINRA alleged that Broten has failed to respond …
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Lonna Dehn Ristvedt, previously with National Planning Corp., Suspended by FINRA Have you lost money with financial advisor Lonna Dehn Ristvedt?  We are looking into allegations made about Lonna R. Dehn Ristvedt from Fargo, North Dakota.  FINRA (the Financial Industry Regulatory Authority) suspended Dehn Ristvedt from the securities industry for four months and fined her …
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Donatas Vildzius, Formerly with Network 1 Financial Securities, Suspended by FINRA Have you lost money with financial advisor Donatas B. Vildzius from Danbury, Connecticut?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Donatas Vildzius. FINRA filed a complaint against Vildzius regarding allegations while he was affiliated with Network 1 …
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Dwight Dykstra, previously with Vision Brokerage Services, Suspended by FINRA Have you lost money with financial advisor Dwight Dykstra?  We are looking into allegations made about Dwight L. Dykstra from Maitland, Florida.  FINRA (the Financial Industry Regulatory Authority) suspended Dykstra from the securities industry for twelve months, fined him $10,000, and ordered him to disgorge …
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Neemit Shah, previously with NYLife Securities, Suspended by FINRA Have you lost money with financial advisor Neemit Shah?  We are looking into allegations made about Neemit M. Shah from Glen Allen, Virginia.  FINRA (the Financial Industry Regulatory Authority) suspended Shah from the securities industry for six months and fined him $5,000.  FINRA was investigating Shah …
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Gerald Eaton, formerly with Commonwealth Financial Network, Pleads Guilty to Fraud and Identity Theft Have you lost money with financial advisor Gerald Allan Eaton from Acton, Massachusetts?  We are continuing to look into allegations made against Gerald Eaton, who recently pleaded guilty to wire fraud, mail fraud, and identity theft.  Eaton stole more than $3.7 …
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Kathleen Bott, formerly with D.A. Davidson & Co., Barred by FINRA Have you lost money with financial advisor Kathleen Bott?  We are looking into allegations made about Kathleen Bott from Spokane, Washington.  FINRA (the Financial Industry Regulatory Authority) barred Bott from the securities industry.  FINRA alleged that Bott has failed to respond to its investigation …
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Rand Heckler, formerly with Benjamin & Jerold Brokerage, Charged with Fraud by SEC Have you lost money with financial advisor Rand Heckler of Glen Cove, New York?  We are continuing to look into allegations made by the Securities and Exchange Commission (SEC) against Heckler.  The SEC alleged that Rand Heckler solicited investors to invest in …
Read More "UPDATE! Advisor Rand Heckler Charged with FRAUD – Glen Cove, NY"

Corbin Lambert, with Securities America, Subject of SEC Complaint for Defrauding Investors Have you lost money with financial advisor Corbin L. Lambert from Omaha, Nebraska?  We are looking into allegations made by the Securities and Exchange Commission (SEC) against Corbin Lambert. The SEC alleged that Lambert engaged in a “cherry-picking” scheme with his advisory firm …
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Julian Piekarczyk, formerly with Pruco Securities, Now Barred by FINRA Have you lost money with financial advisor Julian Piekarczyk from Joliet, Illinois?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against Julian J. Piekarczyk. FINRA filed a complaint against Piekarczyk regarding allegations while he was affiliated with Pruco …
Read More "UPDATE! Julian Piekarczyk of Pruco is Now BARRED – Joliet, IL"