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WARNING! Impending Investigation: Larry Templin of Temple, TX

Category Archives: Investment Fraud

15
Oct

WARNING! Impending Investigation: Larry Templin of Temple, TX

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WARNING!  Impending Investigation:  Larry Templin of Temple, TX

Larry Templin, formerly of Centaurus Financial, Barred from Securities Industry   Have you lost money with financial advisor Larry Templin of Temple, Texas?  We are looking into allegations made by against Larry Joe Templin by FINRA (the Financial Industry Regulatory Authority).  FINRA barred Templin from the securities industry after he failed to respond to an ...

15
Oct

WARNING! Impending Investigation: JOHN BUCK of Boston, MA

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WARNING!  Impending Investigation:  JOHN BUCK of Boston, MA

John Buck, formerly of Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor John Buck of Boston, Massachusetts?  We are looking into allegations made by against John H. Buck III by FINRA (the Financial Industry Regulatory Authority).  FINRA barred Buck from the securities industry after he failed to respond to ...

11
Oct

INVESTOR ALERT! THOMAS DAVIS and Wells Fargo LOSSES – Hilton Head Island, SC

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INVESTOR ALERT!  THOMAS DAVIS and Wells Fargo LOSSES – Hilton Head Island, SC

Thomas Davis, formerly of Wells Fargo, Barred from Securities Industry   Have you lost money with financial advisor, Thomas Davis of Hilton Head Island, South Carolina?  We are investigating into allegations made against Thomas Davis by FINRA (the Financial Industry Regulatory Authority).  FINRA barred him from the securities industry after he failed to respond to ...

10
Oct

WILFRED RODRIGUEZ of Wells Fargo and STOLEN MONEY? -Boca Raton, FL

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WILFRED RODRIGUEZ of Wells Fargo and STOLEN MONEY?  -Boca Raton, FL

Wilfred Rodriguez, formerly of Wells Fargo, Barred from Securities Industry   Have you lost money with financial advisor, Wilfred Rodriguez of Boca Raton, Florida?  We are investigating into allegations made by against Wilfred Rodriguez by FINRA (the Financial Industry Regulatory Authority).  FINRA barred Wilfred Rodriguez from the securities industry after he failed to respond to ...

05
Oct

UPDATE! MATTHEW KERBY BARRED – Paoli, IN

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UPDATE!  MATTHEW KERBY BARRED – Paoli, IN

Matthew Kerby, formerly with Edward Jones Barred by Indiana   Have you lost money with financial advisor Matthew Kerby of Paoli, Indiana?  We are continuing our investigation into allegations made against Matthew D. Kerby.  The Indiana Securities Commission barred Kerby from the securities industry.  Kerby was barred after he was the subject of an earlier ...

05
Oct

Complaints Against WILLIAM BLACK of Edward Jones – Malvern, AR

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Complaints Against WILLIAM BLACK of Edward Jones – Malvern, AR

Edward Jones Subject of Arkansas Complaint Regarding Supervision of William Black   Have you lost money with financial advisor William Black of Malvern, Arkansas?  We are investigating allegations made by the Arkansas Securities Department.  Arkansas alleged that Edward Jones failed to reasonably supervise William “Ken” or “Kinney” Black.   Arkansas alleged that Black was placed ...

05
Oct

WARNING! Investigation of CIM SECURITIES

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WARNING!  Investigation of CIM SECURITIES

CIM Securities Fined $15,000 For Supervisory Failures   We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against CIM Securities, a Centennial, Colorado-based securities brokerage firm.  In a recent regulatory action, FINRA fined CIM $15,000 for failing to supervise the private securities transactions of three of CIM’s representatives.   In the action, ...

05
Oct

INVESTOR ALERT! JOHN GILBERT SUSPENDED – Houston, TX

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INVESTOR ALERT!  JOHN GILBERT SUSPENDED – Houston, TX

John Gilbert, formerly with Raymond James & Associates, Suspended 45 Days from Securities Industry   Have you lost money with financial advisor John Gilbert from Houston, Texas?  We are investigating into allegations made by FINRA (the Financial Industry Regulatory Authority) against John Wendel Gilbert.  FINRA suspended Gilbert from the securities industry for 45 days, fined ...

04
Oct

Investigation of JON PARISER – Pacific Grove, CA

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Investigation of JON PARISER – Pacific Grove, CA

Jon Pariser, formerly with Independent Financial Group, Barred from Securities Industry   Have you lost money with financial advisor Jon Pariser of Pacific Grove, California?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Jon Richard Pariser. FINRA barred Pariser from the securities industry after he failed to ...

02
Oct

UPDATE! Atiq Khan of Covina, CA BARRED

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UPDATE!  Atiq Khan of Covina, CA BARRED

Atiq Khan, formerly with TransAmerica Financial Advisors, Barred from Securities Industry   Have you lost money with financial advisor Atiq Khan of Covina, California?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Atiq U. Khan. FINRA barred Khan from the securities industry after he failed to respond ...

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