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UPDATE! Lee D. Weiss Investigation

30
Sep

UPDATE! Lee D. Weiss Investigation

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UPDATE!  Lee D. Weiss Investigation

Lee D. Weiss and Family Endowment Partners   Have you lost money investing with financial advisor Lee D. Weiss of Newton, Massachusetts?  We are investigating Lee Weiss after the Securities and Exchange Commission brought a complaint against Weiss in federal court in Massachusetts.  The SEC alleges that Weiss and his firm, Family Endowment Partners, solicited ...

28
Sep

WARNING! Impending Investigation: ROBERT J. KERRIGAN of SCOTTSDALE, ARIZONA

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WARNING!  Robert J. Kerrigan of Scottsdale, Arizona   Have you lost money with financial advisor Robert J. Kerrigan, Sr. from Scottsdale, Arizona?  We are investigating allegations made by the Securities Division of the Arizona Corporation Commission against Robert Kerrigan, who previously worked as a financial advisor with Personal Wealth Management Group in Scottsdale.  The Arizona Securities ...

28
Sep

WARNING! Impending Investigation: MICHAEL B. PETERSEN and ACADIA CAPITAL PARTNERS LLC

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WARNING!  Impending Investigation:  MICHAEL B. PETERSEN and ACADIA CAPITAL PARTNERS LLC

Michael B. Petersen and Acadia Capital Partners LLC Have you lost money with financial advisor Michael B. Petersen?  We are investigating allegations made by the Utah Division of Securities against Michael Petersen, who previously worked as a financial advisor and investment advisor in Midvale, Utah.  The Utah Division of Securities alleged that Michael Petersen engage ...

28
Sep

WARNING! Impending Investigation: JOSEPH R. BUTLER and WOODBURY FINANCIAL SERVICES

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WARNING!  Impending Investigation:  JOSEPH R. BUTLER and WOODBURY FINANCIAL SERVICES

Joseph R. Butler and Woodbury Financial Services Have you lost money with financial advisor Joseph Butler of Brandywine and Clinton, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joseph R. Butler. FINRA barred Butler from the securities industry, concerning allegations that he stole over $170,000 from an elderly customer ...

25
Sep

WARNING! Impending Investigation: BIOCHEMICS, INC. and AMERIPRISE FINANCIAL SERVICES

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WARNING!  Impending Investigation:  BIOCHEMICS, INC. and AMERIPRISE FINANCIAL SERVICES

BioChemics, Inc. and Ameriprise Financial Services Have you lost money investing in BioChemics, Inc.?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) regarding the sales of BioChemics, Inc. preferred stock by financial advisors with Ameriprise Financial Services.  FINRA brought a regulatory action against John J. Kolinofsky, Jr., a supervisor and branch ...

25
Sep

WARNING! Impending Investigation: LOMBARD SECURITIES, INC. and ETFs

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WARNING!  Impending Investigation:  LOMBARD SECURITIES, INC. and ETFs

Lombard Securities, Inc. and ETFs   We are currently investigating allegations made against Lombard Securities, Inc., a Baltimore, Maryland-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lombard Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ETFs; b) failure to preserve ...

23
Sep

Israels & Neuman, PLC Sues Boiler Room Brokers

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Click on Link:  Article:  What if Your Broker had Worked in a Boiler Room?   Have you lost money with a boiler room broker? Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 ...

23
Sep

WARNING! Impending Investigation: ALDO COMUZZI and DAWSON JAMES SECURITIES

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WARNING!  Impending Investigation:  ALDO COMUZZI and DAWSON JAMES SECURITIES

Aldo Comuzzi and Dawson James Securities Have you lost money with financial advisor Aldo Comuzzi of Boca Raton, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Aldo Comuzzi. FINRA barred Comuzzi from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Comuzzi regarding ...

23
Sep

WARNING! Impending Investigation: RALPH SAVOIE and ING Financial (VOYA FINANCIAL)

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WARNING!  Impending Investigation:  RALPH SAVOIE and ING Financial (VOYA FINANCIAL)

Ralph Savoie, and ING Financial Partners (nka Voya Financial Advisors)   Have you lost money with financial advisor Ralph Savoie of Baton Rouge and Metairie, Louisiana?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ralph W. Savoie. FINRA barred Savoie from the securities industry after he failed to respond to a ...

22
Sep

WARNING! Impending Investigation: JEFFREY MOHLMAN and QUESTAR CAPITAL CORP.

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WARNING!  Impending Investigation:  JEFFREY MOHLMAN and QUESTAR CAPITAL CORP.

Jeffrey Mohlman and Questar Capital Corp. Have you lost money with financial advisor Jeffrey Mohlman of Dayton, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey Mohlman. FINRA barred Mohlman from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Mohlman regarding allegations ...

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