(720) 599-3505

WARNING! Impending Investigation–THOMAS CHARBONNEAU, FELTL & CO. and BERTHEL FISHER & CO.

15
Oct

WARNING! Impending Investigation–THOMAS CHARBONNEAU, FELTL & CO. and BERTHEL FISHER & CO.

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Thomas Charbonneau, Feltl & Company, and Berthel Fisher & Company Have you lost money with financial advisor Thomas Charbonneau from Lilydale, Minnesota?  Thomas Charbonneau was recently barred by FINRA (the Financial Industry Regulatory Authority) in connection with a pump-and-dump scheme and for allowing a customer to sign blank forms.  FINRA alleged that Charbonneau was recommending ...

15
Oct

WARNING! Impending Investigation–CLARK S. GARDNER and CETERA ADVISORS LLC

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Clark S. Gardner and Cetera Advisors LLC We are currently investigating allegations made against Orem, Utah financial advisor Clark S. Gardner.  Gardner was recently barred from the securities industry by FINRA (the Financial Industry Regulatory Authority) for selling unapproved investments to his customers and for stealing money from his customers.  FINRA alleged that Clark Gardner ...

15
Oct

WARNING! Impending Investigation–JAMES C. EASTMAN and WESTPORT RESOURCES INVESTMENT SERVICES

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James C. Eastman and Westport Resources Investment Services Have you lost money with financial advisor James C. Eastman of Naples, Florida?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against James Eastman.  FINRA alleges that Eastman sold investments in Quest Energy Management Group and Permian Advanced Oil Recovery Investment Fund during ...

13
Oct

WARNING! Impending Investigation–KEITH M. ROGERS and G.L.S. & ASSOCIATES, INC.

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Keith M. Rogers and G.L.S. & Associates, Inc. Have you lost money with financial advisor Keith M. Rogers of Huntsville, Alabama?  We are investigating accusations made against Keith Rogers that he stole money from his clients.  Rogers was recently barred from the securities industry by FINRA (the Financial Industry Regulatory Authority) for failing to appear ...

13
Oct

WARNING! Impending Investigation–JO ELLEN FISHER and RAYMOND JAMES FINANCIAL SERVICES

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Jo Ellen Fisher and Raymond James Financial Services Have you lost money with financial advisor Jo Ellen Fisher?  We are currently investigating claims made against Jo Ellen Fisher from Gallipolis, Ohio.  FINRA (the Financial Industry Regulatory Authority) alleged that Fisher stole over $924,000 from the trust account of a 95-year-old client during 2013.  FINRA alleged ...

13
Oct

WARNING! Impending Investigation–SWS FINANCIAL SERVICES, INC.

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SWS Financial Services Inc. and Variable Annuities Have you lost money in a variable annuity with SWS Financial Services Inc.? FINRA recently brought a disciplinary action against SWS Financial Services Inc., alleging that SWS Financial Services failed to establish adequate supervisory systems and procedures to monitor variable annuity sales.  FINRA also alleged that SWS Financial ...

13
Oct

WARNING! Impending Investigation–BENJAMIN MALECHE and J.P. MORGAN SECURITIES

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Benjamin Maleche and J.P. Morgan Securities Have you lost money with Benjamin Maleche?  FINRA recently suspended Mr. Maleche nine months and fined him $5,000 for participating in an unapproved, private securities transaction.  Mr. Maleche, a financial advisor based in Seattle, Washington, recommended that a number of his clients invest in a company identified as “TT” ...

10
Oct

WARNING! Impending Investigation–ERIC WILLIAM JOHNSON and REDRIDGE SECURITIES

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Eric William Johnson and RedRidge Securities Have you lost money in Eric William Johnson?  Eric William Johnson was recently barred by FINRA, the Financial Industry Regulatory Authority, for stealing money from his customers’ accounts and depositing the money into his own personal accounts. Eric William Johnson was a registered representative of RedRidge Securities from 1999 ...

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