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Michael Rappa of Foresters Equity Services, Barred from Securities Industry

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19
Feb

Michael Rappa of Foresters Equity Services, Barred from Securities Industry

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Michael Rappa of Foresters Equity Services, Barred from Securities Industry

Have you lost money with financial advisor Michael Rappa of Foresters Equity Services in San Diego, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Michael J. Rappa.  Rappa was being investigated regarding allegations that he sold $2.7 million in investments in the Woodbridge Group of Companies.  Last year, ...

19
Feb

Kirk Bertsch, of Farmers Financial Solutions, Suspended from Securities Industry

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Kirk Bertsch, of Farmers Financial Solutions, Suspended from Securities Industry

Have you lost money with financial advisor Kirk Bertsch of Farmers Financial Solutions in  Spearfish, South Dakota?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Kirk J. Bertsch. FINRA suspended Bertsch from the securities industry for one month and ordered him to disgorge $1,500 in commissions.  Bertsch was being ...

18
Feb

John Maccoll of UBS Financial Services Sentenced to 9 Years in Prison

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John Maccoll of UBS Financial Services Sentenced to 9 Years in Prison

John Maccoll of UBS Financial Services, Sentenced to 9 Years in Prison   Have you lost money with financial advisor John Maccoll of Birmingham and Rochester Hills, Michigan?  We are continuing to look into allegations made against John Maccoll, a former advisor with UBS Financial Services.  Maccoll was recently sentenced to serve nine years in ...

17
Feb

Marvin Thomas White of Farmers Financial Solutions, Barred by FINRA

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Marvin Thomas White of Farmers Financial Solutions, Barred by FINRA

Have you lost money with financial advisor Marvin Tom White of Farmers Financial Solutions in Pegram, Tennessee?     We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Marvin Thomas White, Jr. FINRA barred “Tom” White from the securities industry after he failed to respond to a FINRA investigation.  FINRA ...

17
Feb

Thomas Sova, formerly with Hornor, Townsend & Kent, Suspended Five Months from Securities Industry

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Thomas Sova, formerly with Hornor, Townsend & Kent, Suspended Five Months from Securities Industry

Have you lost money with financial advisor Thomas Sova from Baton Rouge, Louisiana?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Thomas E. Sova. FINRA suspended Sova from the securities industry for five months, fined him $5,000, and ordered him to disgorge $5,000 in commissions.  Sova was being investigated ...

17
Feb

Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry

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Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry

Have you lost money with financial advisor Floyd Powell from Albertville, Alabama?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Floyd E. Powell. FINRA barred Powell from the securities industry.  Powell was being investigated regarding allegations that he sold $3.5 million in investments in the Woodbridge Group of Companies. ...

17
Feb

Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

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Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

Have you lost money with Thomas Edward Burns of Crown Capital Securities?    We are currently investigating allegations made against Thomas Edward Burns III, a Lake Forest, California-based securities broker.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Burns, alleging that he negligently made numerous errors in alternative investment forms (AIO Forms). ...

07
Feb

Sean Kelly and Sales of GPB Capital

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Sean Kelly and Sales of GPB Capital

Sean Kelly and Sales of GPB Capital   Have you lost money investing with Sean Kelly and GPB Capital? We are continuing our investigation into Sean Joseph Kelly from Marietta, Georgia, who was previously a registered representative of Capital Financial Services and Center Street Securities.  Sean Kelly was recommending that his clients make investments in GPB ...

07
Feb

Michael Castillero, formerly with Alexander Capital, Barred by FINRA

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Michael Castillero, formerly with Alexander Capital, Barred by FINRA

Michael Castillero, formerly with Alexander Capital, Barred by FINRA   Have you lost money with financial advisor Michael Castillero of New York, New York?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael A. Castillero. FINRA barred Castillero from the securities industry after he failed to respond to a ...

07
Feb

Casey Walker, formerly with Farmers Financial Solutions, Barred by FINRA

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Casey Walker, formerly with Farmers Financial Solutions, Barred by FINRA

Have you lost money with financial advisor Casey Walker of Lake Lotawana, Missouri?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Casey Wayne Walker. FINRA barred Walker from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Walker after he was terminated by ...

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