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Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

24
Nov

Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

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Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services   Have you lost money with financial advisor Dennis Van Patter with VSR Financial Services of Plano, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, regarding Dennis Van Patter.  FINRA alleged that Van Patter recommended that one of ...

24
Nov

UPDATE! Investigation of TOBIN J. SENEFELD, JEFFREY B. RISINGER, MATTHEW D. HAAB, and FARMGROWCAP, LLC

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UPDATE!  Investigation of TOBIN J. SENEFELD, JEFFREY B. RISINGER, MATTHEW D. HAAB, and FARMGROWCAP, LLC

Tobin J. Senefeld, Jeffrey B. Risinger, Matthew D. Haab, and FarmGrowCap LLC   Have you lost money with financial advisors Tobin J. Senefeld, Jeffrey B. Risinger, and Matthew D. Haab of Carmel, Indiana?  The Securities and Exchange Commission (SEC) brought a regulatory action against Senefeld, Risinger, Haab, and the companies that they were affiliated with.  ...

23
Nov

WARNING! Impending Investigation: ANTHONY CANTONE, CHRISTINE CANTONE, and CANTONE RESEARCH

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WARNING!  Impending Investigation:  ANTHONY CANTONE, CHRISTINE CANTONE, and CANTONE RESEARCH

Anthony  Cantone, Christine Cantone, and Cantone Research   Have you lost money investing in Polo Road Associated Living LLC, Chestnut Independent Living LLC, Highlands Assisted Living LLC, Oklahoma Operating LLC, Cedala LLC, or Arcadia Partners?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony J. Cantone, Christine L. Cantone, and ...

20
Nov

WARNING! Impending Investigation: GEORGE ZEDAN and LPL FINANCIAL, LLC

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WARNING!  Impending Investigation:  GEORGE ZEDAN and LPL FINANCIAL, LLC

Investigation:  George Zedan and LPL Financial, LLC   Have you lost money with financial advisor George Zedan of Glendale, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against George A. Zedan. FINRA seeks to bar Zedan from the securities industry after FINRA alleged that he failed to adequately respond to ...

19
Nov

WARNING! Impending Investigation: MICHAEL INDERLIED, TIMOTHY N. PAYNE, and WILLBANKS SECURITIES, INC.

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WARNING!  Impending Investigation:  MICHAEL INDERLIED, TIMOTHY N. PAYNE, and WILLBANKS SECURITIES, INC.

Investigation:  Michael Inderlied, Timothy N. Payne, and Wilbanks Securities, Inc.   Have you lost money with financial advisors Michael Inderlied and Timothy N. Payne from Oklahoma City, Oklahoma?  We are investigating allegations made by Missouri Securities Division against Inderlied and Payne for conduct while they were registered with Wilbanks Securities, Inc.   According to the ...

19
Nov

UPDATE! James B. Markoski Investigation

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UPDATE!  James B. Markoski Investigation

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 ...

18
Nov

WARNING! Impending Investigation: THOMAS KOLBE and FCG ADVISORS, LLC

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WARNING!  Impending Investigation:  THOMAS KOLBE and FCG ADVISORS, LLC

Thomas Kolbe and FCG Advisors, LLC   Have you lost money with financial advisor Thomas Kolbe of Centennial, Colorado?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Thomas A. Kolbe.  The SEC previously barred Kolbe from the securities industry back in 2004, with a chance for reinstatement after one year, ...

18
Nov

UPDATE! The Investigation of Chris Yoo and Summit Asset Strategies Investment Management

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UPDATE!  The Investigation of Chris Yoo and Summit Asset Strategies Investment Management

Losses with Chris Yoo and Summit Asset Strategies Investment Management?   Have you lost money investing in the Summit Stable Value Fund or the Summit Stable Opportunities Fund I?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against the investment adviser of these funds, Chris Yoo of Bellevue, Washington.  Chris Yoo owned ...

16
Nov

INVESTIGATION OF GLENN R. KING, ROYAL ALLIANCE SECURITIES, and BUCKMAN, BUCKMAN & REID

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INVESTIGATION OF GLENN R. KING, ROYAL ALLIANCE SECURITIES, and BUCKMAN, BUCKMAN & REID

Glenn R. King, Royal Alliance Securities, and Buckman, Buckman & Reid   Have you lost money with financial advisor Glenn R. King from Shrewsbury, New Jersey?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against King. FINRA alleged that Glenn King made unsuitable recommendations to his customers to switch ...

13
Nov

WARNING! Impending Investigation: JONATHAN GREENFIELD and GWG RENEWABLE SECURED DEBENTURES

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WARNING!  Impending Investigation:  JONATHAN GREENFIELD and GWG RENEWABLE SECURED DEBENTURES

Jonathan Greenfield and GWG Renewable Secured Debentures   Have you invested in GWG Renewable Secured Debentures?  We have previously written numerous blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors and brokerage firms who recommended that their clients invest in GWG debentures, because FINRA believes that these investments are ...

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