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AugWARNING! Impending Investigation–TRAVIS SHANNON and MORGAN STANLEY SMITH BARNEY
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
AugUPDATE! Continuing Investigation of JEFFREY MEYER and UNITED PRIVATE CAPITAL
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
AugWARNING! Impending Investigation–JEFFREY SCHRADER and LIBERTY STATE BENEFITS of PENNSYLVANIA, INC.
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
AugUPDATE! Investigation of GWG RENEWABLE SECURED DEBENTURES
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 ...
14
AugWARNING! Impending Investigation–MARK FOSTER and STERN FISHER EDWARDS, INC.
Mark Foster and Stern Fisher Edwards, Inc. Have you been a victim of theft by financial advisor Mark Foster? We are currently investigating Los Angeles, California-based financial advisor Mark Foster, who was recently barred from the securities industry. On August 7, 2014, FINRA (the Financial Industry Regulatory Authority) barred Foster for allegedly misappropriating and stealing ...
07
AugWARNING! Impending Investigation–FINANCIAL AMERICA SECURITIES, JOHN RUKENBROD, PAUL CARLETON and CHRISTOPHER MCKENNA
Financial America Securities, Inc., John Rukenbrod, Paul Carleton, and Christopher McKenna We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Financial America Securities Inc., John Rukenbrod, Paul Carleton, and Christopher McKenna. FINRA recently fined Financial America Securities $27,500 and Rukenbrod $5,000 (in addition to suspending Rukenbrod two months in any principal ...
07
AugWARNING! Impending Investigation–JIM HAMMONS and FIRST INDEPENDENT FINANCIAL SERVICES
Jim Hammons and First Independent Financial Services In a recent disciplinary action, the Oklahoma Department of Securities made allegations regarding Jim J. Hammons, a financial advisor from Tulsa. The Oklahoma Department of Securities alleged that Hammons was a financial advisor and investment advisor. Hammons solicited one of his investment advisory clients to invest in Reaction ...
07
AugWARNING! Impending Investigation–DERL KNARR and ALLSTATE FINANCIAL SERVICES
Derl Knarr and Allstate Financial Services Have you lost money with Derl Knarr? We are currently investigating allegations made by the Securities and Exchange Commission regarding customer funds that he misappropriated and deposited in his own account. Knarr resides in Herndon, Pennsylvania. Knarr worked for Allstate Financial Services from November 2002 to June 2009, and ...
05
AugWARNING! Impending Investigation–DONALD BARTELT & NEWPORT COAST SECURITIES
Donald Bartelt and Newport Coast Securities FINRA recently brought a disciplinary action against Newport Coast Securities and seven of its registered representatives, including financial advisors Donald A. Bartelt, Douglas Leone, Marc Arena, Roman T. Luckey, Andre LaBarbera, David M. Levy, and Antonio Costanzo. FINRA alleged that Newport Coast Securities and some of its advisors excessively ...
