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WARNING! Impending Investigation: CAPITAL SECURITIES MANAGEMENT and REVERSE CONVERTIBLES

27
Oct

WARNING! Impending Investigation: CAPITAL SECURITIES MANAGEMENT and REVERSE CONVERTIBLES

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WARNING!  Impending Investigation:  CAPITAL SECURITIES MANAGEMENT and REVERSE CONVERTIBLES

Capital Securities Management, Inc. and Reverse Convertibles   We are currently investigating allegations made against Capital Securities Management, Inc., a Minneapolis, Minnesota-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Capital Securities Management, alleging that it failed to reasonably supervise the sales of reverse convertibles, among several other allegations.  ...

27
Oct

WARNING! Impending Investigation: WUNDERLICH SECURITIES and ETFs

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WARNING!  Impending Investigation:  WUNDERLICH SECURITIES and ETFs

Wunderlich Securities, Inc. and ETFs   We are currently investigating allegations made against Wunderlich Securities, Inc., a Memphis, Tennessee-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Wunderlich Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ETFs from July 2012 to ...

26
Oct

LOSSES WITH FINANCIAL ADVISOR, JASON FIGUEROA, GMS GROUP LLC, ETFs, and EXCHANGE TRADED NOTES

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LOSSES WITH FINANCIAL ADVISOR, JASON FIGUEROA, GMS GROUP LLC, ETFs, and EXCHANGE TRADED NOTES

Impending Investigation:  Jason Figueroa, GMS Group LLC, ETFs, and Exchange Traded Notes   Have you lost money with financial advisor Jason L. Figueroa from Boca Raton, Florida? We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Jason Figueroa.  Figueroa was barred from the securities industry by FINRA after he used ...

26
Oct

WARNING! Impending Investigation: JOSEPH DAIGNEAULT and INVESTORS CAPITAL CORP.

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WARNING!  Impending Investigation:  JOSEPH DAIGNEAULT and INVESTORS CAPITAL CORP.

Joseph Daigneault and Investors Capital Corp. Have you lost money with financial advisor Joseph Daigneault of Biddeford, Maine?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joseph Daigneault. FINRA investigated Daigneault, alleging that he provided inaccurate information regarding the value of investor holdings on consolidated reports that he provided to ...

26
Oct

WARNING! Impending Investigation: ANDREW L. QUINN and STIFEL NICOLAUS & COMPANY

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WARNING!  Impending Investigation:  ANDREW L. QUINN and STIFEL NICOLAUS & COMPANY

Investigation of:  Andrew L. Quinn and Stifel Nicolaus & Company   Have you lost money with financial advisor Andrew Quinn of Reno, Nevada?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Andrew Quinn. FINRA barred Quinn from the securities industry after he failed to respond to a FINRA investigation.  FINRA ...

26
Oct

WARNING! Impending Investigation: ANTHONY C. GRAY and EDWARD JONES

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WARNING!  Impending Investigation:  ANTHONY C. GRAY and EDWARD JONES

Anthony C. Gray and Edward Jones   Have you lost money with financial advisor Anthony Gray of Baton Rouge, Louisiana?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony C. Gray. FINRA barred Gray from the securities industry after he was alleged to have stolen $138,000 from an elderly couple ...

26
Oct

WARNING! Impending Investigation: LIAM O’KEEFFE and MERRILL LYNCH

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WARNING!  Impending Investigation:  LIAM O’KEEFFE and MERRILL LYNCH

Investigation of:  Liam O’Keeffe and Merrill Lynch   Have you lost money with financial advisor Liam O’Keeffe of Southbury, Connecticut?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Liam O’Keeffe. FINRA barred O’Keeffe from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating O’Keeffe ...

26
Oct

WARNING! Impending Investigation: MARK J. PROKAY and W&S BROKERAGE SERVICES, INC.

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WARNING!  Impending Investigation:  MARK J. PROKAY and W&S BROKERAGE SERVICES, INC.

Investigation:  Mark J. Prokay and W&S Brokerage Services, Inc.   Have you lost money with financial advisor Mark Prokay of New Castle, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mark J. Prokay. FINRA barred Prokay from the securities industry after he failed to respond to a FINRA investigation.  ...

26
Oct

UPDATE: Investigation of MARC A. ARENA of National Securities Corp. and Newport Coast Securities

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UPDATE:  Investigation of MARC A. ARENA of National Securities Corp. and Newport Coast Securities

UPDATE to Israels & Neuman, PLC investigation of MARC A. ARENA of NATIONAL SECURITIES CORPORATION and NEWPORT COAST SECURITIES, INC. of Westbury, New York   Israels & Neuman, PLC previously reported that FINRA, the Financial Industry Regulatory Authority named Marc Arena as a Respondent in a Complaint alleging that he failed to adequately supervise a ...

19
Oct

WARNING! Impending Investigation: NEWPORT COAST SECURITIES and AARON HEIMOWITZ

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WARNING!  Impending Investigation:  NEWPORT COAST SECURITIES and AARON HEIMOWITZ

Aaron Heimowitz and Newport Coast Securities   Have you lost money with financial advisor Aaron Heimowitz of Kew Gardens, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Aaron Heimowitz. FINRA alleged that Heimowitz sold investments to his clients without permission from his brokerage firm, Newport Coast Securities, which ...

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