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WARNING! Impending Investigation–FELTL & COMPANY and ETFs

29
Dec

WARNING! Impending Investigation–FELTL & COMPANY and ETFs

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Feltl & Company and ETFs   We are currently investigating allegations made against Feltl & Company, a Minneapolis, Minnesota-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Feltl & Company, alleging that Feltl failed to establish and maintain an adequate supervisory system regarding leveraged and inverse ETFs.  Feltl & ...

23
Dec

WARNING! Impending Investigation–DEREK L. WEAVER and PRUCO SECURITIES

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Derek L. Weaver and Pruco Securities Have you lost money with financial advisor Derek L. Weaver from Birmingham, Alabama?    We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Derek Weaver.  FINRA recently barred Weaver from the securities industry because he failed to respond and cooperate with an investigation.  FINRA was ...

11
Dec

WARNING! Impending Investigation–WALTER GRENDA, TIMOTHY DEMBSKI, and PRESTIGE WEALTH MANAGEMENT FUND

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Walter Grenda, Timothy Dembski, and the Prestige Wealth Management Fund Have you lost money with financial advisors Walter Grenda, Timothy Dembski and Reliance Financial Advisors from the Buffalo, New York area?  We are currently investigating allegations made by the SEC (the Securities and Exchange Commission) against Grenda, Dembski, and their registered investment advisory firm, Reliance ...

09
Dec

UPDATE! Investigation of KGTA PETROLEUM and JEFFREY GAINER, JERRY CICOLANI, KELLY HOOD, and PRIM SOLUTIONS SECURITIES

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KGTA Petroleum, Jeffrey Gainer, Jerry Cicolani, Kelly Hood, and PrimeSolutions Securities Have you lost money in KGTA Petroleum?  We are currently investigating allegations made by the FBI, IRS, and the U.S. Attorney’s Cleveland office regarding Akron, Ohio-based KGTA Petroleum.  On December 8, 2014, criminal charges were brought against KGTA Petroleum co-owner and operator Kenneth A. ...

05
Dec

WARNING! Impending Investigation–LEVI LINDEMANN and J.P. TURNER & COMPANY

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Levi Lindemann and J.P. Turner & Company Have you lost money with financial advisor Levi Lindemann from West Lakeland, Minnesota?  We are currently investigating allegations made by the SEC (Securities and Exchange Commissions) made against Levi Lindemann.  The SEC alleges that from September 2009 to August 2013, Lindemann raised at least $976,000 from at least ...

02
Dec

INVESTOR ALERT! STEVEN WALSTAD of Plymouth, MN

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INVESTOR ALERT!  STEVEN WALSTAD of Plymouth, MN

Steven Walstad SUSPENDED and FINED   Have you lost money with financial advisor Steven Walstad from Plymouth, Minnesota?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Walstad. FINRA alleged that Steven Walstad excessively traded mutual funds in his customers’ accounts.  “A” shares of mutual shares typically have upfront ...

01
Dec

WARNING! Impending Investigation–MAYOR OF WESTOVER, ALABAMA, JAMES MARK MCLAUGHLIN and SECURITIES AMERICA, INC.

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James Mark McLaughlin and Securities America, Inc. Have you lost money with financial advisor James Mark McLaughlin from Westover, Alabama?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against McLaughlin.  FINRA recently barred Mark McLaughlin from the securities industry for excessively trading or churning several customers’ accounts.  FINRA alleged ...

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