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WARNING! Impending Investigation–DAMIEN P. ALEXANDER and FINANCIAL NETWORK INVESTMENT CORP., and QUEST SECURITIES, INC.

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11
Jun

WARNING! Impending Investigation–DAMIEN P. ALEXANDER and FINANCIAL NETWORK INVESTMENT CORP., and QUEST SECURITIES, INC.

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Damien P. Alexander, Financial Network Investment Corporation, and Quest Securities, Inc. FINRA (the Financial Industry Regulatory Authority) has recently barred a former registered representative from Fair Oaks, California named Damien P. Alexander.  Damien Alexander was alleged to have sold unregistered securities to his clients and engaging in private securities transactions and purportedly undisclosed outside business ...

06
Jun

WARNING! Impending Investigation – TIMOTHY D. BURNS/PURSHE KAPLAN STERLING INVESTMENTS and CV BROKERAGE, INC.

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Investment Losses with Timothy D. Burns – Purshe Kaplan Sterling Investments and CV Brokerage, Inc. In May 2013, the U.S. Attorney’s Office for the Eastern District of Pennsylvania filed an indictment against Timothy D. Burns of Phoenixville, Pennsylvania.  Timothy Burns was charged with mail and wire fraud, related to a scheme from 2007 to 2012 ...

30
May

WARNING! Impending Investigation–TRAVIS WETZEL and LPL FINANCIAL

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Travis Wetzel and LPL Financial Investigation We are currently investigating allegations made against Travis Wetzel, a former LPL Financial advisor from Frederick, Maryland who was recently charged with misappropriating at least $1.2 million from an elderly client.  The U.S. Attorney’s office in Maryland indicted Wetzel with wire fraud charges, alleging that he withdrew money from ...

29
May

WARNING! Impending Investigation – JAMES ROBERTS and AMERITAS INVESTMENT CORP.

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James Roberts and Ameritas Investment Corp. We are currently investigating allegations made against James Roberts of Iowa.  James Roberts was affiliated with Ameritas Investment Corp. in its Glenwood, Iowa branch office.  The Iowa Insurance Commissioner recently suspended James Roberts for two years for allegedly borrowing money from clients, against firm policy.  The Financial Industry Regulatory ...

23
May

WARNING! Impending Investigation – CENTER STREET SECURITIES and MICHAEL J. WURDINGER

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Have you invested in GWG Renewable Secured Debentures?   GWG Holdings, Inc. purchases life insurance policies on the secondary market, at a discount from the policy owner.  GWG then hopes to make a profit by collecting the face value of the policy when the insured passes away.  However, in order to finance the purchases of these ...

21
May

WARNING! Impending Investigation- BRIAN JOSEPH ALLEN, SR.

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Investigation – Brian Joseph Allen Sr. and RBC Capital Markets   We are currently investigating allegations made against Brian Joseph Allen, Sr.  Brian Joseph Allen, Sr. was a registered representative of RBC Capital Markets from March 2006 to May 2012 in RBC Capital Markets’ office in Conshohocken, Pennsylvania.  Brian Joseph Allen was fired by RBC ...

12
May

WARNING! Impending Investigation – GARY SNISKY, DAVID J. BURCH, AND BRENDA RIDLEY

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–IMPENDING INVESTIGATION WARNING!— INVESTMENT LOSSES WITH GARY SNISKY, DAVID J. BURCH, AND BRENDA RIDLEY Have you lost money in an investment operated by Gary Snisky from Longmont, Colorado? Gary Snisky operated a number of companies, including Colony Capital LLC, Colony Capital Holdings, Arete LLC, CMG Offering 12PO5i (or “CMG5”), CMG Offering 12PO10i (or “CMG10”), Summit ...

07
May

WARNING! Impending Investigation – DOUGLAS S. ROBERTS and MARC JENSON

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We are investigating the sales practices of financial advisor Douglas S. Roberts of Idaho.  Roberts has been alleged to have steered his clients to invest in artwork through an individual named Marc Jenson. According to an investigation by the Idaho Department of Finance, Securities Bureau, Roberts solicited a number of Idaho residents to invest in ...

13
Feb

FINRA Seeks to Beef-Up Use of BrokerCheck

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February 13, 2014 By Trevor Hunnicutt Investmentnews.com Finra on Thursday advanced a revised proposal that would require brokerage firms to include a link on their websites and other online communications to BrokerCheck, the database that includes broker disciplinary records. The Financial Industry Regulatory Authority Inc. would require brokerage firms to display links to BrokerCheck, “on ...

05
Nov

Will Twitter Follow in the Footsteps of the Botched Facebook IPO?

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Of the many failures of the Facebook IPO, was the company’s aggressive share price increases just before its initial public offering.  While Twitter has dubbed its IPO as the “anti-Facebook IPO,” the Los Angeles Times is now reporting that Twitter is engaging in the same practice by increasing its stock price to between $23 and ...

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