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20
Jun

UPDATE! STEVEN KNUTTILA of Perham, MN Has Been BARRED

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INVESTOR ALERT! Steven Knuttila

Steven Knuttila, formerly of Capital Financial Services, Barred from Securities Industry by FINRA   Have you lost money with financial advisor Steven Knuttila of Perham, Minnesota?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Steven R. Knuttila.  Knuttila was barred from the securities industry by FINRA after […]

19
Jun

UPDATE! DENNIS FARRAH of Colorado Springs is BARRED

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UPDATE! Madyson Capital and Dennis Farrah

Dennis Farrah of Colorado Springs Has Been Barred from Securities Industry   Have you lost money with financial advisors Dennis Farrah from Colorado Springs, Colorado?  We are continuing our investigating into allegations made by FINRA (the Financial Industry Regulatory Authority) against Dennis Mitchell Farrah.  FINRA barred Farrah from the securities industry after he failed to […]

18
Jun

WARNING! Impending Investigation – RICHARD WESSELT

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INVESTOR ALERT! Richard Wesselt

 Israels & Neuman, PLC Investigates Richard Wesselt, formerly with Sterne Agee Financial Services and O.N. Equity Sales Company   Have you lost money with financial advisor Richard M. Wesselt, formerly with Sterne Agee Financial Services, from Collegeville, Pennsylvania?  We are investigating allegations of former customers related to Richard Wesselt. Richard Wesselt’s BrokerCheck report, a public […]

14
Jun

WARNING! Impending Investigation: NORTHEAST SECURITIES – Mitchelfield, NY

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INVESTOR ALERT! Northeast Securities

Northeast Securities, LLC Fined for Failing to Adequately Supervise Outside Brokerage Accounts   We are currently investigating allegations made against Northeast Securities, LLC, a Mitchelfield, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Northeast Securities, alleging that it failed to reasonably supervise the outside brokerage accounts of […]

11
Jun

UPDATE! DONALD SOUTHWICK of Troy, MI

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UPDATE! Donald Southwick

Former President of CSSC Brokerage Services Suspended and Fined for Failing to Adequately Supervise Donald Southwick   Have you lost money with financial advisor Donald Southwick of Troy, Michigan?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Donald P. Southwick. In 2017, FINRA suspended Southwick six months […]

11
Jun

WARNING! Investigation of SEAN BRADY of St. Louis, Missouri

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Sean Brady formerly with First Allied Securities, Barred from Securities Industry   Have you lost money with financial advisor Sean Brady of St. Louis, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sean Aaron Brady. FINRA barred Brady from the securities industry after he failed to respond to a […]

11
Jun

WARNING! Impending Investigation: ATIQ KHAN of Covina, CA

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INVESTOR ALERT! Atiq Khan

Atiq Khan, formerly with TransAmerica Financial Advisors, Subject of FINRA Complaint   Have you lost money with financial advisor Atiq Khan of Covina, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Atiq U. Khan. FINRA seeks to bar Khan from the securities industry after he failed to respond to […]

11
Jun

WARNING! Impending Investigation: STEVEN KNUTTILA – Perham, MN

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INVESTOR ALERT! Steven Knuttila

Steven Knuttila, formerly of Capital Financial Services, Barred by Minnesota   Have you lost money with financial advisor Steven Knuttila of Perham, Minnesota?  We are investigating allegations made by the Minnesota Commission of Commerce, against Steven R. Knuttila. Minnesota alleged that Knuttila made unsuitable investment recommendations to his customers, barred him from the securities industry, […]

8
Jun

UPDATE! MATTHEW ECKSTEIN ARRESTED regarding CONMAC FUNDING

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INVESTOR ALERT! Matthew Eckstein

Matthew Eckstein Arrested   Our firm has recently learned that financial advisor Matthew Eckstein was arrested on June 7, 2018 by Nassau County, New York.  Mr. Eckstein has also been recently been the subject of an investigation by FINRA (the Financial Industry Regulatory Authority).  Both the arrest and FINRA investigation are likely related to Eckstein’s […]

8
Jun

WARNING! Investigation of MICHAEL SPOLAR of Beachwood, OH

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Michael Spolar Investigation

Michael Spolar, formerly of International Assets Advisory, Suspended One Month from Securities Industry   Have you lost money with financial advisor Michael Spolar of Beachwood, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Patrick Spolar. FINRA suspended Spolar from the securities industry for one month regarding allegations that […]

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