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WARNING! Impending Investigation: RICHARD MARTIN – Miami, FL

27
Apr

WARNING! Impending Investigation: RICHARD MARTIN – Miami, FL

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WARNING!  Impending Investigation:  RICHARD MARTIN – Miami, FL

Richard Martin, formerly of G.F. Investment Services, Barred from Securities Industry   Have you lost money with financial advisor Richard W.L. Martin from Miami, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard Martin.  FINRA alleged that Martin used unsuitable trading of non-traditional ETFs (exchange traded funds), which comprise ...

27
Apr

WARNING! Impending Investigation: RONALD BROADSTONE – New Albany, OH

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WARNING!  Impending Investigation:  RONALD BROADSTONE – New Albany, OH

Ronald Broadstone, formerly of UBS Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Ronald Broadstone of New Albany, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ronald Dale Broadstone. FINRA barred Broadstone from the securities industry after he failed to respond to a ...

27
Apr

WARNING! Impending Investigation: JOSE R. GONZALES of Chicago, IL

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WARNING!  Impending Investigation:  JOSE R. GONZALES of Chicago, IL

Jose R. Gonzalez, formerly of American Trust Investment Services, Barred from Securities Industry   Have you lost money with financial advisor Jose Gonzalez of Chicago, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jose Ramon Gonzalez. FINRA barred Gonzalez from the securities industry after he failed to respond to ...

26
Apr

UPDATE! Jeffrey Hill of Dougherty & Co. Suspended by Minnesota

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UPDATE!  Jeffrey Hill of Dougherty & Co. Suspended by Minnesota

Jeffrey Hill, formerly of Dougherty & Company, LLC, Suspended by Minnesota for One Year   Have you lost money with financial advisor Jeffrey Hill of Bemidji, Minnesota?  We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority), as well as the Minnesota Commission of Commerce, against Jeffrey A. Hill and his former ...

26
Apr

UPDATE! Tracy Wengert FINED $1.5 Million

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UPDATE!  Tracy Wengert FINED $1.5 Million

Tracy Wengert, formerly of TransAmerica Financial Advisors, Fined $1.5 Million by Arizona   Have you lost money with financial advisor Tracy Wengert of Mesa, Arizona?  We are investigating allegations made by the Arizona Corporation Commission against Wengert.  Arizona alleged that he induced customers of his brokerage firm, TransAmerica Financial Advisors, to open up separate accounts ...

26
Apr

UPDATE! Randall Gladden Securities License REVOKED

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UPDATE!  Randall Gladden Securities License REVOKED

Randall Gladden, formerly with Securities Equity Group, Has License Revoked by Arizona Corporation Commission Investigation   Have you lost money with financial advisor J. Randall Gladden from Aliso Viejo, California?    We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority) and the Arizona Corporation Commission against Randall Gladden.  FINRA alleged ...

25
Apr

INVESTOR ALERT! Walter Marino – Bohemia, NY

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INVESTOR ALERT!  Walter Marino – Bohemia, NY

Walter Marino from Bohemia, New York Subject of FINRA Complaint For Variable Annuity Recommendations   Have you lost money with financial advisor Walter Marino from Bohemia, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Walter J. Marino. FINRA alleged that Walter Marino made unsuitable recommendations to ...

24
Apr

INVESTOR WARNING! Gregg Templeton – New York, NY

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INVESTOR WARNING!  Gregg Templeton – New York, NY

Gregg Templeton, formerly of Oppenheimer & Co., Barred from Securities Industry   Have you lost money with financial advisor Gregg Templeton of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gregg D. Templeton. FINRA barred Templeton from the securities industry after he failed to respond to ...

18
Apr

INVESTOR WARNING! Ann Comcowich – Prudential Investment Management

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INVESTOR WARNING!  Ann Comcowich – Prudential Investment Management

Ann Comcowich, formerly of Prudential Investment Management Services, Barred from Securities Industry   Have you lost money with financial advisor Ann Comcowich of Scranton, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ann Marie Comcowich. FINRA barred Comcowich from the securities industry after he failed to respond to a ...

18
Apr

INVESTOR WARNING! John Olinghouse – Sparks, NV

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INVESTOR WARNING!  John Olinghouse – Sparks, NV

John Olinghouse from Sparks, Nevada Suspended from Securities Industry for One Year Have you lost money with financial advisor John Olinghouse of Sparks, Nevada?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against John E. Olinghouse. FINRA suspended Olinghouse for one year from the securities industry and fined him $15,000.   ...

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