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WARNING! Impending Investigation–ASCENDIANT CAPITAL MARKETS LLC and SEAN SPEARMAN

28
Feb

WARNING! Impending Investigation–ASCENDIANT CAPITAL MARKETS LLC and SEAN SPEARMAN

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Ascendiant Capital Markets LLC and Sean Spearman   We are currently investigating allegations made against Ascendiant Capital Markets LLC, an Irvine, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Ascendiant Capital Markets for failing to timely update Form U-4s for two (one former, one current) of its registered ...

28
Feb

WARNING! Impending Investigation–BRYAN W. ANDERSON, TERRY J. BAGWELL and PRUCO SECURITIES LLC

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Bryan W. Anderson, Terry J. Bagwell and Pruco Securities LLC We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Terry Joe Bagwell, an advisor in Birmingham, Alabama.  Bagwell was alleged to be the supervisor designated to supervise another registered representative (Bryan Wayne Anderson) of Pruco Securities that sold $8.4 million in ...

28
Feb

UPDATE! Investigation of CHARLES C. FACKRELL and LPL FINANCIAL

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Charles C. Fackrell and LPL Financial Have you lost money with financial advisor Charles Caleb Fackrell from Yadkinville, North Carolina?  We have been investigating Charles Fackrell, after he was arrested in December 2014 for allegations that he stole at $300,000 from his clients.  Fackrell worked at Fackrell/Trivette Wealth Management in Yadkinville. Charles Fackrell was recently ...

28
Feb

WARNING! Impending Investigation–DOUGLAS J. MELZER and WELLS FARGO ADVISORS

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Douglas J. Melzer and Wells Fargo Advisors Have you lost money with financial advisor Douglas J. Melzer in Aquatic Systems Unlimited?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Douglas “Dutch” Melzer, from Sewickley, Pennsylvania.  FINRA alleges that Melzer sold at least $2 million in investments in Aquatic Systems Unlimited, ...

27
Feb

INLAND AMERICAN REIT Announces Significant Drop in Value and Distributions

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Inland American REIT Announces Significant Drop in Value and Distributions In a recent filing with the Securities and Exchange Commission (SEC), Inland American, a non-traded REIT or Real Estate Investment Trust, announced that the net asset value (NAV) of its shares dropped 42.4%.  The NAV dropped from $6.94 in 2013 to $4 currently.  Inland American ...

26
Feb

WARNING! Impending Investigation–FRANCIS V. LORENZO and HUNTER WISE SECURITIES LLC

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Francis V. Lorenzo and Hunter Wise Securities LLC Have you lost money with financial advisor Francis V. Lorenzo?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Francis Lorenzo, a financial advisor from New York City.  The SEC alleges that Lorenzo violated securities rules and regulations when he solicited investors to ...

26
Feb

WARNING! Impending Investigation–PERRY S. ABBONIZIO and WELLS FARGO ADVISORS

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Perry S. Abbonizio and Wells Fargo Advisors Have you lost money with financial advisor Perry Stephen Abbonizio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Perry Abbonizio, from Conshohocken, Pennsylvania.  FINRA alleges that Abbonizio participated in private securities transactions without approval from his securities brokerage firm, Wells Fargo Advisors.  FINRA ...

16
Feb

WARNING! Impending Investigation–METLIFE SECURITIES and JOHN D. FORD

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John D. Ford and MetLife Securities We are currently investigating allegations made by the Utah Division of Securities against financial advisor John Darin Ford from Sandy, Utah.  The Utah Division of Securities, headquartered in Salt Lake City, recently brought a regulatory complaint against John Ford, alleging that Ford altered and forged client signatures on IRA ...

16
Feb

PRESS RELEASE: Israels & Neuman PLC files arbitration Complaint against LPL FINANCIAL and VALIC

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Jodie L. Miller, VALIC Financial Advisors, and LPL Financial FOR IMMEDIATE RELEASE – Israels & Neuman PLC announce the filing of an arbitration complaint on behalf of investors who suffered losses in Tri-Med Corporation, against VALIC Financial Advisors and LPL Financial LLC.  The investors were solicited to invest in Tri-Med Corporation by Jodie L. Miller, ...

14
Feb

WARNING! Impending Investigation–ONE AMERICA SECURITIES and MATTHEW J. DAVIS

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OneAmerica Securities, Inc. and Matthew J. Davis   We are currently investigating allegations made against OneAmerica Securities Inc., an Indianapolis, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against OneAmerica Securities for failing to supervise one of its financial advisors, Matthew J. Davis.  Matthew Davis was alleged to have ...

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