(720) 599-3505

WARNING! Impending Investigation–SALVATORE GIOE, PHX FINANCIAL, and LEGEND SECURITIES

19
Mar

WARNING! Impending Investigation–SALVATORE GIOE, PHX FINANCIAL, and LEGEND SECURITIES

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Salvatore Gioe, PHX Financial, and Legend Securities Have you lost money with financial advisor Salvatore Gioe?  We are investigating allegations made by the Arkansas Securities Department against Salvatore Gioe, from New York, New York.  The Arkansas Securities Department recently suspended Gioe for one year for a failure to abide by a previous regulatory order.  Under ...

19
Mar

WARNING! Impending Investigation–LOENID YUROVSKY and ETFs

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Leonid Yurovsky and ETFs   We are currently investigating allegations made against Leonid Yurovsky, a financial advisor from New York, New York.  The Arkansas Securities Department brought a regulatory action against Leonid Yurovsky, alleging that he made excessive trades (or churned) a customer’s account, charging over $106,000 in commissions in a 19-month period from March ...

13
Mar

PRESS RELEASE! CNL Lifestyle Properties REIT Announces Significant Drop in Value

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CNL Lifestyle Properties REIT Announces Significant Drop in Value In a recent filing with the Securities and Exchange Commission (SEC), CNL Lifestyle Properties, a non-traded REIT or Real Estate Investment Trust, announced that the net asset value (NAV) of its shares dropped 24%.  The NAV dropped from $6.85 in 2013 to $5.20 currently.  CNL Lifestyle ...

12
Mar

WARNING! Impending Investigation–DALE R. ISAAK, SECURITIES SERVICE NETWORK and ETFs

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Dale R. Isaak, Securities Service Network Inc., and ETFs   We are currently investigating allegations made against Securities Service Network Inc., a Knoxville, Tennessee-based securities brokerage firm.  The Missouri Securities Division (MSD) brought a regulatory action against Securities Service Networks, making numerous allegations regarding its conduct, including its failure to supervise a financial advisor, Dale ...

11
Mar

WARNING! Impending Investigation–BART J. ELLIS and AMERIPRISE FINANCIAL SERVICES

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Bart J. Ellis and Ameriprise Financial Services Have you lost money with financial advisor Bart J. Ellis of the Chicagoland area?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Bart Ellis.  Ellis was barred from the securities industry after failing to respond to a FINRA investigation regarding unauthorized trades made ...

10
Mar

WARNING! Impending Investigation–JAMES J. MCATEE and LPL FINANCIAL

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James J. McAtee and LPL Financial Have you lost money with financial advisor James J. McAtee from Mount Zion, Illinois?  We are investigating allegations made by the Illinois Securities Department against James McAtee.  The Illinois Securities Department performed an audit on McAtee’s branch office in Mt. Zion, and it alleged that McAtee solicited and completed ...

09
Mar

UPDATE! Redonda Russell Barred from the Securities Industry

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Redonda Russell and First Command Financial Planning We are continuing to investigate allegations made against Redonda Russell of Fort Worth, Texas.  In 2014, Redonda Russell pled guilty to wire fraud charges, in connection with stealing more than $316,000 from clients.  Redonda Russell was alleged to have located lists of clients with inactive accounts and life ...

09
Mar

WARNING! Impending Investigation–DANIEL G. RETZKE and EDWARD JONES

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Daniel G. Retzke and Edward Jones Have you lost money with financial advisor Daniel G. Retzke of Freeport, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Retzke.  Retzke agreed to be barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating ...

06
Mar

WARNING! Impending Investigation–MATTHEW J. RYAN and HAZARD & SIEGEL, INC.

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Matthew J. Ryan and Hazard & Siegel, Inc. Have you lost money with Matthew J. Ryan from Troy, New York? We are currently investigating allegations made against Matthew J. Ryan.  In 2011, Ryan was sentenced to 10 years in prison for defrauding at least 53 investors out of $3.5 million.  Ryan ran two companies, American ...

05
Mar

WARNING! Impending Investigation–BRIAN S. EXFORD and IBN FINANCIAL SERVICES

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Brian S. Exford and IBN Financial Services Have you lost money with financial advisor Brian S. Exford from Rochester, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian Exford.  Exford was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating ...

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