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WARNING! Impending Investigation – MICHAEL OROMANER

30
Nov

WARNING! Impending Investigation – MICHAEL OROMANER

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WARNING!  Impending Investigation – MICHAEL OROMANER

Michael Oromaner, formerly with Salomon Whitney Financial, Suspended from Securities Industry for Two Years   Have you lost money with financial advisor Michael Oromaner from Farmingdale, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Oromaner.  FINRA alleged that Oromaner excessively traded or churned a customer’s account.  To ...

29
Nov

WARNING! Impending Investigation – PAULA HAROLD

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WARNING!  Impending Investigation – PAULA HAROLD

Paula Harold, formerly of PFS Investments, Suspended 18 Months from Securities Industry   Have you lost money with financial advisor Paula Harold of Ontario, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paula Louise Harold. FINRA suspended Harold from the securities industry for 18 months and fined $5,000 regarding ...

29
Nov

WARNING! Impending Investigation – DAVID REYNOLDS

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WARNING!  Impending Investigation – DAVID REYNOLDS

David Reynolds from Modesto, California Barred From Securities Industry   Have you lost money with financial advisor David Reynolds of Modesto, California?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against David Lee Reynolds. FINRA barred David Reynolds from the securities industry after he failed to respond to an investigation.  FINRA ...

22
Nov

WARNING! Impending Investigation – BRIAN GIMELSON

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WARNING!  Impending Investigation – BRIAN GIMELSON

Brian Gimelson from Princeton, New Jersey Barred From Securities Industry   Have you lost money with financial advisor Brian Gimelson of Princeton, New Jersey?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Brian F. Gimelson. FINRA barred Brian Gimelson from the securities industry after he failed to respond to an ...

22
Nov

WARNING! Impending Investigation – BRIAN ROYSTER

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WARNING!  Impending Investigation – BRIAN ROYSTER

Brian Royster from Ann Arbor, Michigan Barred From Securities Industry   Have you lost money with financial advisor Brian Royster of Ann Arbor, Michigan?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Brian Lamont Royster. FINRA barred Brian Royster from the securities industry after he failed to respond to an ...

18
Nov

WARNING! Impending Investigation – HEATH BOWEN and PETER KLAASS

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WARNING!  Impending Investigation – HEATH BOWEN and PETER KLAASS

Heath Bowen and Peter Klaass Subject of Colorado Securities Division Complaint   Have you lost money with financial advisor Heath Bowen and Peter Klaass from Idaho Falls, Idaho?  We are continuing our investigation into allegations made by the Colorado Division of Securities made against Heath J. Bowen and Peter G. Klaass. In a May 2017 ...

18
Nov

WARNING! Impending Investigation – TIMOTHY GIBBONS

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WARNING!  Impending Investigation – TIMOTHY GIBBONS

Timothy Gibbons from New Orleans, Louisiana, Suspended From Securities Industry for 18 Months   Have you lost money with financial advisor Timothy Gibbons of New Orleans, Louisiana?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Timothy T. Gibbons. FINRA suspended Timothy Gibbons from the securities industry for 18 months regarding ...

17
Nov

WARNING! Impending Investigation – ROBERT HOFFMAN

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WARNING!  Impending Investigation – ROBERT HOFFMAN

Robert Hoffman from Greenwood, Indiana Barred From Securities Industry   Have you lost money with financial advisor Robert Hoffman of Greenwood, Indiana?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Robert Hayes Hoffman. FINRA barred Robert Hoffman from the securities industry after he failed to respond to an investigation.  FINRA ...

17
Nov

WARNING! Impending Investigation – MICHAEL RESCINITI

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WARNING!  Impending Investigation – MICHAEL RESCINITI

Michael Resciniti, formerly of Laidlaw & Company, Suspended by FINRA   Have you lost money with financial advisor Michael Resciniti of Melville, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael J. Resciniti. FINRA suspended Resciniti from the securities industry for seven months regarding allegations that he engaged ...

16
Nov

WARNING! Impending Investigation – VICTOR DANDRIDGE

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WARNING!  Impending Investigation – VICTOR DANDRIDGE

Victor Dandridge from Charlottesville, Virginia Barred From Securities Industry   Have you lost money with financial advisor Victor M. Dandridge III of Charlottesville, Virginia?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Victor Dandridge. FINRA barred Victor Dandridge from the securities industry after he failed to respond to an investigation.  ...

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