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WARNING! Impending Investigation–RANDY L. LESLIE, EDWARD JONES and LPL FINANCIAL

29
Oct

WARNING! Impending Investigation–RANDY L. LESLIE, EDWARD JONES and LPL FINANCIAL

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Randy L. Leslie, Edward Jones, and LPL Financial Have you lost money with financial advisor Randy L. Leslie from Golden, Colorado?  We are investigating allegations made against Mr. Leslie.  Randy Leslie was recently fined $7,000 by the Oregon Division of Finance and Corporate Securities.  Mr. Leslie was investigated by Oregon because he failed to disclose ...

29
Oct

WARNING! Impending Investigation–RICHARD F. KENNY, JR. and LIGHTSPEED TRADING LLC

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Richard F. Kenny, Jr. and Lightspeed Trading LLC Have you lost money with financial advisor Richard F. Kenny, Jr.? We are investigating allegations made against Mr. Kenny. Richard Kenny Jr. was recently investigated by FINRA (the Financial Industry Regulatory Authority) for his involvement in private securities transactions while he was a registered representative of Lightspeed ...

22
Oct

WARNING! Impendng Investigation–SCOTT BRITTENHAM and CLEAN ENERGY CAPITAL LLC

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Scott Brittenham and Clean Energy Capital LLC Have you lost money with financial advisor of Scott Brittenham from Tucson, Arizona? We are currently investigating allegations made against Scott A. Brittenham by the Securities and Exchange Commission (SEC).  The SEC recently settled an administrative action that it filed against Brittenham and Clean Energy Capital (CEC), a ...

22
Oct

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 ...

22
Oct

OCT Denver Post Coverage of Tom Martino Trial

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The Denver Post recently covered one of my trials for Tom Martino. The article can be found here: The Denver Post recently covered one of my trials for Tom Martino. The article can be found here:…...

21
Oct

Denver Post Coverage of Federal Rule 11 Motion

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This is a recent article from the Denver post where my firm successfully defended a federal Rule 11. This is a recent article from the Denver post where my firm successfully defended a federal Rule 11…...

20
Oct

WARNING! Impending Investigation–JAMES B. MARKOSKI

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James B. Markoski   Have you lost money with financial advisor James B. Markoski?  James Markoski is a financial advisor based in Chicago, Illinois.  The Illinois Securities Department filed a complaint against Markoski on September 29, 2014, alleging fraud in connection with churning his customers’ accounts.  The Illinois Securities Department alleged that Markoski has a ...

20
Oct

WARNING! Impending Investigation–MICHAEL E. DONNELLY and COASTAL EQUITIES, INC.

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Michael E. Donnelly and Coastal Equities, Inc. Have you lost money with financial advisor Michael E. Donnelly?  We are investigating recent allegations made against Michael E. Donnelly by his former brokerage firm, Coastal Equities Inc.  Michael Donnelly was recently fired by Coastal Equities on September 2, 2014 after the firm alleged that Donnelly was misappropriating ...

15
Oct

WARNING! Impending Investigation–DAVID TYSK and AMERIPRISE FINANCIAL SERVICES

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David Tysk and Ameriprise Financial Services We are currently investigating claims against David Tysk and Ameriprise Financial Services.  David Tysk is a Minneapolis, Minnesota-based financial advisor for Ameriprise.  FINRA (the Financial Industry Regulatory Authority) recently fined Tysk $50,000, as well as Ameriprise for $100,000, for altering documents that were part of a FINRA arbitration proceeding. ...

15
Oct

WARNING! Impending Investigation–BARKLEY LUNDY JR. and PFS INVESTMENTS

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Barkley Lundy Jr. and PFS Investments Have you lost money with financial advisor Barkley Lundy Jr. from Rapid City, South Dakota?  We are investigating recent allegations made against Barkley Lundy made by FINRA, the Financial Industry Regulatory Authority.  FINRA recently barred Lundy from the securities industry for receiving money from his brokerage firm customers and ...

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