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WARNING! Impending Investigation–BENJAMIN MALECHE and J.P. MORGAN SECURITIES

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13
Oct

WARNING! Impending Investigation–BENJAMIN MALECHE and J.P. MORGAN SECURITIES

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Benjamin Maleche and J.P. Morgan Securities Have you lost money with Benjamin Maleche?  FINRA recently suspended Mr. Maleche nine months and fined him $5,000 for participating in an unapproved, private securities transaction.  Mr. Maleche, a financial advisor based in Seattle, Washington, recommended that a number of his clients invest in a company identified as “TT” ...

10
Oct

WARNING! Impending Investigation–ERIC WILLIAM JOHNSON and REDRIDGE SECURITIES

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Eric William Johnson and RedRidge Securities Have you lost money in Eric William Johnson?  Eric William Johnson was recently barred by FINRA, the Financial Industry Regulatory Authority, for stealing money from his customers’ accounts and depositing the money into his own personal accounts. Eric William Johnson was a registered representative of RedRidge Securities from 1999 ...

12
Sep

WARNING! Impending Investigation–AON MILLER and BENJAMIN F. EDWARDS & CO. INC.

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Aon Miller and Benjamin F. Edwards & Co., Inc. We are currently investigating allegations made against financial advisor Aon Miller from Chattanooga, Tennessee.  FINRA (the Financial Industry Regulatory Authority) alleged that Aon Miller solicited a number of his clients to invest in a number of private companies, including a real estate development company and a ...

09
Sep

WARNING! Impending Investigation–HUNTLEIGH SECURITIES CORP. and ETFs

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Huntleigh Securities Corp. and ETFs We are currently investigating allegations made against Huntleigh Securities Corp., a St. Louis, Missouri-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Huntleigh Securities, alleging that Huntleigh failed to establish and maintain an adequate supervisory system regarding leveraged and inverse ETFs.  Huntleigh consented to ...

02
Sep

WARNING! Impending Investigation–REDONDA RUSSELL and FIRST COMMAND FINANCIAL PLANNING

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Redonda Russell and First Command Financial Planning We are currently investigating allegations made against Redonda Russell of Fort Worth, Texas.  Redonda Russell recently pleaded guilty to wire fraud charges, in connection with stealing more than $316,000 from clients.  Redonda Russell was alleged to have located lists of clients with inactive accounts and life insurance policies.  ...

02
Sep

UPDATE! Continuing Investigation into GWG Renewable Secured Debentures

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Continuing Investigation Into GWG Renewable Secured Debentures Have you invested in GWG Renewable Secured Debentures?  We have previously posted a number of blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors who recommended that their clients invest in GWG debentures. FINRA recently brought at least its fifth disciplinary action ...

27
Aug

WARNING! Impending Investigation–TRAVIS SHANNON and MORGAN STANLEY SMITH BARNEY

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Travis Shannon and Morgan Stanley Smith Barney We are currently investigating allegations made against Travis S. Shannon of Santa Barbara, California.  Travis Shannon was recently suspended by FINRA (the Financial Industry Regulatory Authority) for two years for his involvement with firms that he failed to disclose to his employer, Morgan Stanley Smith Barney. FINRA alleged ...

22
Aug

UPDATE! Continuing Investigation of JEFFREY MEYER and UNITED PRIVATE CAPITAL

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Jeffrey Meyer and United Private Capital We are continuing our investigation into allegations made against Jeffrey Brian Meyer from Lake in the Hills, Illinois.  We currently represent a client who invested in United Private Capital at the recommendation of Jeffrey Meyer. FINRA (the Financial Industry Regulatory Authority) recently filed a regulatory complaint against Jeffrey Meyer.  ...

22
Aug

WARNING! Impending Investigation–JEFFREY SCHRADER and LIBERTY STATE BENEFITS of PENNSYLVANIA, INC.

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Jeffrey Schrader and Liberty State Benefits of Pennsylvania Inc. We are currently investigating allegations made against Jeffrey Dean Schrader of Philadelphia, Pennsylvania.  Jeffrey Schrader was barred from selling securities by the New Jersey Bureau of Securities on August 11, 2014.  Schrader was alleged to have sold notes of a company called Liberty State Benefits of ...

18
Aug

UPDATE! Investigation of GWG RENEWABLE SECURED DEBENTURES

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Additional Investigation Into GWG Renewable Secured Debentures Have you invested in GWG Renewable Secured Debentures?  We have previously written several blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors who recommended that their clients invest in GWG debentures. FINRA recently brought at least its fourth disciplinary action in the ...

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