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WARNING! Impending Investigation–AON MILLER and BENJAMIN F. EDWARDS & CO. INC.

12
Sep

WARNING! Impending Investigation–AON MILLER and BENJAMIN F. EDWARDS & CO. INC.

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Aon Miller and Benjamin F. Edwards & Co., Inc. We are currently investigating allegations made against financial advisor Aon Miller from Chattanooga, Tennessee.  FINRA (the Financial Industry Regulatory Authority) alleged that Aon Miller solicited a number of his clients to invest in a number of private companies, including a real estate development company and a ...

09
Sep

WARNING! Impending Investigation–HUNTLEIGH SECURITIES CORP. and ETFs

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Huntleigh Securities Corp. and ETFs We are currently investigating allegations made against Huntleigh Securities Corp., a St. Louis, Missouri-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Huntleigh Securities, alleging that Huntleigh failed to establish and maintain an adequate supervisory system regarding leveraged and inverse ETFs.  Huntleigh consented to ...

02
Sep

WARNING! Impending Investigation–REDONDA RUSSELL and FIRST COMMAND FINANCIAL PLANNING

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Redonda Russell and First Command Financial Planning We are currently investigating allegations made against Redonda Russell of Fort Worth, Texas.  Redonda Russell recently pleaded guilty to wire fraud charges, in connection with stealing more than $316,000 from clients.  Redonda Russell was alleged to have located lists of clients with inactive accounts and life insurance policies.  ...

02
Sep

UPDATE! Continuing Investigation into GWG Renewable Secured Debentures

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Continuing Investigation Into GWG Renewable Secured Debentures Have you invested in GWG Renewable Secured Debentures?  We have previously posted a number of blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors who recommended that their clients invest in GWG debentures. FINRA recently brought at least its fifth disciplinary action ...

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