Israels & Neuman, PLC Investigates Bryon Martinsen, of Centaurus Financial Have you lost money with financial advisor Bryon E. Martinsen (CRD# 1621649), of Centaurus Financial, in Kings Park, New York?  We are investigating allegations of former customers related to Bryon Martinsen. Bryon Martinsen’s BrokerCheck report, a public record maintained by FINRA, states that Martinsen has …
Read More "WARNING! Investigation of BRYON MARTINSEN – Kings Park, NY"

Gilder Gagnon Howe & Co. Settles with SEC Over Failing to Supervise Excessive Trading Have you lost money investing in equities or stocks through Gilder Gagnon Howe & Co., Inc.?  We are currently investigating allegations made against the New York, New York-based securities brokerage firm.  The Securities and Exchange Commission (SEC) brought a regulatory action …
Read More "GILDER GAGNON HOWE & CO. Fined for Churning Customer Accounts"

Matthew Clason, formerly with LPL Financial, Barred by FINRA Have you lost money with financial advisor Matthew O. Clason from Glastonbury, Connecticut?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against Matthew Clason.  Clason was barred from the securities industry by FINRA after he failed to respond to …
Read More "WARNING: Matthew Clason of LPL Financial BARRED – Glastonbury, CT"

Scott Fries, formerly with Transamerica Financial Advisors, Subject of SEC Complaint for Defrauding Investors Have you lost money with financial advisor Scott Allen Fries from Piqua, Ohio?  We are looking into allegations made by the Securities and Exchange Commission (SEC) against Scott Fries. The SEC alleged that Fries stole about $178,000 from investors.  It was …
Read More "FRAUD ALERT: Advisor SCOTT FRIES of Transamerica – Piqua, OH"

Griffinest Asia Securities Settles with FINRA Over Sales of Inverse and Leveraged Exchange Traded Products Have you lost money investing in ETFs and ETNs with Griffinest Asia Securities?  We are currently investigating allegations made against Griffinest Asia Securities, Inc., a Pasadena, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action …
Read More "Have You Lost Money with GRIFFINEST ASIA SECURITIES or ETFs?"

Ferrell Rollins Jr., formerly with Capital Investment Group, Suspended 6 Months by FINRA Have you lost money with financial advisor Ferrell Lee Rollins?  We are looking into allegations made about Ferrell Lee Rollins Jr. from Rocky Mount, North Carolina.  FINRA (the Financial Industry Regulatory Authority) suspended Ferrell Rollins from the securities industry for six months …
Read More "WARNING: Advisor, Ferrell Rollins Jr. SUSPENDED – Rocky Mount, NC"

Steven Rodemer, previously with Stifel Nicolaus, Ordered to Pay Civil Fine for Theft Have you lost money with financial advisor Steven Rodemer?  We are looking into allegations made about Steven Dale Rodemer from Pueblo, Colorado.  The Securities and Exchange Commission (SEC) filed a complaint against Rodemer, alleging that he stole money from a customer.  Rodemer …
Read More "WARNING! Steven Rodemer of Stifel Nicolaus – THEFT from Customers"

Lori Sacco, previously with BMO Harris, Suspended by FINRA Have you lost money with financial advisor Lori Sacco?  We are looking into allegations made about Lori Ann Sacco from Wauwatosa, Wisconsin.  FINRA (the Financial Industry Regulatory Authority) suspended Sacco from the securities industry for six months and fined $10,000.  FINRA alleged that Sacco forged and …
Read More "WARNING: Advisor LORI SACCO is Now SUSPENDED – Wauwatosa, WI"

Bryan Mazliach, formerly with Laidlaw & Company and Westpark Capital, Subject of FINRA Complaint Have you lost money with financial advisor Bryan G. Mazliach from Fort Lauderdale, Florida?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Bryan Mazliach. FINRA filed a complaint against Mazliach regarding allegations while he was …
Read More "COMPLAINTS Against Advisor BRYAN MAZLIACH – Fort Lauderdale, FL"

Harry Datys, formerly with Westpark Capital, Suspended by FINRA Have you lost money with financial advisor Harry S. Datys?  We are looking into allegations made about Harry Datys from New York, New York.  FINRA (the Financial Industry Regulatory Authority) suspended Datys from the securities industry for fifteen months and fined $20,000.  FINRA alleged that Datys …
Read More "WARNING: HARRY DATYS of Westpark Captial SUSPENDED – New York"