INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Barry Hartman, Eric Rolshoven, and FSC Securities Corp.   Have you lost money with financial advisor Barry Hartman and Eric Rolshoven of Missoula, Montana?  We are investigating allegations made by the Montana Securities Commission against Eric Rolshoven and Barry Hartman, who were previously affiliated with FSC Securities Corp.  According to the complaint filed against Rolshoven, …
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Investment scam: LPL Financial
Former LPL Financial Brokers Christopher S. Laws, Jonathan D. Cooke, Danny S. Hood, and Brandon P. Long Subject of SEC Complaint   Have you lost money investing with Christopher Laws, Jonathan Cooke, Danny Hood, or Brandon Long? Christopher Laws, Jonathan Cooke, Danny Hood, and Brandon Long were recently the subject of a regulatory action by …
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Investigation of David Austin of J.P. Morgan in Grand Rapids, MI
Thomas Lawrence, from Chapel Hill, Tennessee, Subject of FINRA Complaint   Have you lost money with financial advisor Thomas Lawrence of Chapel Hill, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas H. Lawrence III. FINRA recently brought a regulatory complaint against Lawrence.  FINRA was investigating Lawrence regarding allegations …
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UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
David Escarcega, formerly of Center Street Securities, Has Expulsion from Securities Industry Upheld   Have you lost money with financial advisor David Escarcega of Phoenix, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David J. Escarcega. FINRA barred Escarcega after he was alleged to have made false and misleading …
Read More "UPDATE! David Escarcega PERMANENTLY BARRED from Securities Industry"
INVESTOR ALERT! William Wobbe, Hilliard Lyons in Louisville KY
James Maendel, formerly of LPL Financial, Suspended from Securities Industry for Forty-Five Days   Have you lost money with financial advisor James Maendel of Troy, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James D. Maendel. FINRA suspended Maendel from the securities industry for forty-five days and fined him …
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INVESTOR ALERT! Halil Kozi of PHX Financial in New York, NY
Daniel Hushek, Supervisor of Richard Martin, both formerly with G.F. Investment Services, Suspended from Securities Industry for Fifteen Months   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 …
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