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INVESTOR WARNING! Glenn McDowell of New York, NY

31
Oct

INVESTOR WARNING! Glenn McDowell of New York, NY

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INVESTOR WARNING!  Glenn McDowell of New York, NY

WARNING!  Glenn McDowell and Unauthorized Trading   Have you lost money with financial advisor Glenn McDowell of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Glenn McDowell, also known as Clemond St. Aubyn McDowall. FINRA filed a complaint against McDowell, alleging that he made at least ...

30
Oct

UPDATE! DAVID PATRICK THOMAS ARRESTED

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UPDATE!  DAVID PATRICK THOMAS ARRESTED

David Patrick Thomas of Bellingham, Washington Arrested   Have you lost money with financial advisor David Patrick Thomas of Bellingham, Washington?  We are continuing to investigate allegations made against David P. Thomas that he was arrested for theft and securities fraud.  According to the Bellingham Herald, Thomas stole more than $500,000 from numerous Whatcom County ...

25
Oct

INVESTOR WARNING! Fernando de la Lama Merino of Miami, FL

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INVESTOR WARNING!  Fernando de la Lama Merino of Miami, FL

WARNING!  Fernando de la Lama Merino from Miami, Florida   Have you lost money with financial advisor Fernando de la Lama Merino of Miami, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Fernando de la Lama Merino. FINRA seeks to bar de la Lama from the securities industry after ...

25
Oct

INVESTOR WARNING! RICHARD SAMPLEY and RAYMOND JAMES & ASSOCIATES

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INVESTOR WARNING!  RICHARD SAMPLEY and RAYMOND JAMES & ASSOCIATES

WARNING!  Richard Sampley and Raymond James and Associates   Have you lost money with financial advisor Richard Sampley of Atlanta, Georgia?  We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Richard A. Sampley.  FINRA alleged that between October 2013 and July 2014, Sampley solicited investors to invest in warrants of ...

24
Oct

WARNING! Investigation of STUART DICKINSON OF HIGHLAND PARK, TX

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WARNING!  Investigation of STUART DICKINSON OF HIGHLAND PARK, TX

INVESTOR WARNING!  Stuart Dickinson from Highland Park, Texas   Have you lost money with financial advisor Stuart Dickinson of Highland Park, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Stuart G. Dickinson. FINRA barred Dickinson from the securities industry regarding allegations that he made unsuitable investment recommendations to customers ...

20
Oct

WARNING! Impending Investigation: PHILIP MORIARTY II

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WARNING!  Impending Investigation:  PHILIP MORIARTY II

Philip Moriarty II of Hinsdale, Illinois and Mount Desert, Maine Set for Sentencing on November 30, 2016   Have you lost money with financial advisor Philip Moriarty II of Hinsdale, Illinois and Mount Desert, Maine?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Philip E. Moriarty II, a former registered ...

20
Oct

INVESTOR WARNING! RICHARD DEMETRIOU OF DALLAS, TX AND TITAN SECURITIES

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INVESTOR WARNING!  RICHARD DEMETRIOU OF DALLAS, TX AND TITAN SECURITIES

WARNING!  Richard Demetriou from Dallas, Texas and Titan Securities   Have you lost money with financial advisor Richard Demetriou of Dallas, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard W. Demetriou. FINRA alleges that Richard Demetriou engaged in an undisclosed outside business activity when he was involved in ...

20
Oct

INVESTOR WARNING! Mark Tauzin of Lafayette, LA

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INVESTOR WARNING!  Mark Tauzin of Lafayette, LA

Mark Tauzin of Lafayette, Louisiana Sued by FINRA for Unsuitable UIT Trading   Have you lost money with financial advisor Mark Tauzin of Lafayette, Louisiana?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Mark Tauzin, a former advisor at LPL Financial.  FINRA alleged that Tauzin engaged in unsuitable short-term trading ...

19
Oct

INVESTOR WARNING! PAUL LEBEL OF CAMBRIDGE, MA

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INVESTOR WARNING!  PAUL LEBEL OF CAMBRIDGE, MA

WARNING!  Paul Lebel of Cambridge, Massachusetts Sued by SEC for Churning   Have you lost money with financial advisor Paul Lebel of Cambridge, Massachusetts?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Paul T. Lebel, a former advisor at LPL Financial.  The SEC filed a complaint against Paul Lebel, alleging ...

19
Oct

INVESTOR WARNING! William Scholander and Talman Harris of New York, NY

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INVESTOR WARNING!  William Scholander and Talman Harris of New York, NY

WARNING!  William Scholander and Talman Harris from New York, New York   Have you lost money with financial advisor William Scholander of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William J. Scholander. FINRA suspended Scholander from the securities industry for six months regarding allegations that ...

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