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UPDATE! MATTHEW MACZKO of WELLS FARGO in Trouble – Oak Brook, IL

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16
Aug

UPDATE! MATTHEW MACZKO of WELLS FARGO in Trouble – Oak Brook, IL

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UPDATE!  MATTHEW MACZKO of WELLS FARGO in Trouble – Oak Brook, IL

Matthew Maczko from Oak Brook, Illinois Subject of  Illinois Securities Department Complaint   Have you lost money with financial advisor Matthew Maczko from Oak Brook, Illinois?  We are continuing our investigation into allegations made against Matthew M. Maczko, who previously worked with Wells Fargo Advisors.  The Illinois Securities Department brought a complaint against Maczko after ...

16
Aug

INVESTOR WARNING! Investigation of KENNETH FEYERS and CONESTOGA – Coral Springs, FL

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INVESTOR WARNING!  Investigation of KENNETH FEYERS and CONESTOGA – Coral Springs, FL

Conestoga Settlement Trust Fined $30,000 by Idaho Securities Bureau Regarding Kenneth Feyers   The Idaho Securities Bureau recently fined Conestoga Settlement Trust, Conestoga Settlement Services, and Conestoga International $30,000 for selling securities through unlicensed agents in Idaho.  Idaho alleged that numerous agents, such as Kenneth Feyers, sold investments in Conestoga, which were purported to be ...

15
Aug

INVESTOR WARNING! AMERIPRISE FINANCIAL and THEFT from Clients

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INVESTOR WARNING!  AMERIPRISE FINANCIAL and THEFT from Clients

Ameriprise Financial Services Fined Another $4.5 Million For Supervisory Failures   We are investigating allegations made by the Securities and Exchange Commission (SEC) against Ameriprise Financial Services.  Ameriprise was fined $4,500,000 for failing to supervise and detect theft or conversion by five of its registered representatives.  Those representatives include Justin Weseloh, Barbara Stark, Susan Walker, ...

10
Aug

WARNING! Impending Investigation – JOHN MACCOLL of Birmingham, MI

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WARNING!  Impending Investigation – JOHN MACCOLL of Birmingham, MI

John Maccoll, formerly with UBS Financial Services, Indicted and Subject of SEC Complaint   Have you lost money with financial advisor John Maccoll of Birmingham, Michigan?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against John C. Maccoll.  The SEC alleged that Maccoll defrauded his customers out of nearly $4 million ...

09
Aug

INVESTOR WARNING! Investigation of PAMELA SHUTTLEWORTH – Parsippany, NJ

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INVESTOR WARNING!  Investigation of PAMELA SHUTTLEWORTH – Parsippany, NJ

Pamela Shuttleworth, formerly with Comprehensive Asset Management and Servicing, Barred from Securities Industry   We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Pamela Shuttleworth. FINRA barred Shuttleworth from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Shuttleworth regarding allegations that she was the ...

08
Aug

WARNING! Impending Investigation – ALEX HERRERA of Coral Gables, FL

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WARNING!  Impending Investigation – ALEX HERRERA of Coral Gables, FL

Alex Herrera, formerly with UBS Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Alex Herrera of Coral Gables, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alex G. Herrera. FINRA barred Herrera from the securities industry after he failed to respond to a ...

08
Aug

INVESTOR ALERT! Investigation of ROY GAYTAN of Thousand Oaks, CA

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INVESTOR ALERT!  Investigation of  ROY GAYTAN of Thousand Oaks, CA

Roy Gaytan, formerly with TransAmerica Financial Advisors, Suspended from Securities Industry   Have you lost money with financial advisor Roy Gaytan of Thousand Oaks, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Roy Aurelio Gaytan. FINRA suspended Gaytan from the securities industry for eight months and fined him $15,000 ...

06
Aug

WARNING! Investigation of FRANK MARINO of Newport Beach, CA

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WARNING!  Investigation of FRANK MARINO of Newport Beach, CA

Frank Marino, formerly with MARV Capital, Suspended Six Months from Securities Industry   Have you lost money with financial advisor Frank Marino of Newport Beach, California?  We are investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Frank Marino. FINRA suspended Marino six months from the securities industry and fined him $15,000.  FINRA ...

02
Aug

INVESTOR WARNING! Investigation of FREDERICK HOLLOWAY of Easton, MD

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INVESTOR WARNING!  Investigation of FREDERICK HOLLOWAY of Easton, MD

Frederick Holloway, with Holloway & Associates, Subject of FINRA Complaint   Have you lost money with financial advisor Frederick Holloway of Easton, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frederick David Holloway. FINRA was investigating Holloway regarding several allegations, including that: a) Holloway recommended the exchange of variable ...

31
Jul

UPDATE! Jon Sugick of Southfield, MI SUSPENDED

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UPDATE!  Jon Sugick of Southfield, MI SUSPENDED

Jon Sugick, formerly with NYLife Securities, Suspended Two Months   Have you lost money with financial advisor Jon Sugick of Southfield, Michigan?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Jon L. Sugick. FINRA suspended Sugick from the securities industry for two months and fined him $5,000.  ...

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