(720) 599-3505

WARNING! Impending Investigation–PHILIP E. BRUNSON and WELLS FARGO ADVISORS

16
Apr

WARNING! Impending Investigation–PHILIP E. BRUNSON and WELLS FARGO ADVISORS

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Philip E. Brunson and Wells Fargo Advisors Have you lost money with financial advisor Philip E. Brunson of Champaign, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Philip Brunson.  Brunson agreed to be barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was ...

16
Apr

UPDATE! KGTA PETROLEUM, JEFFREY GAINER, JERRY CICOLANI, KELLY HOOD and PRIMESOLUTIONS SECURITIES

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KGTA Petroleum, Jeffrey Gainer, Jerry Cicolani, Kelly Hood, and PrimeSolutions Securities Have you lost money in KGTA Petroleum?  We are currently investigating allegations made by the FBI, IRS, and the U.S. Attorney’s Cleveland office regarding Akron, Ohio-based KGTA Petroleum.  On December 8, 2014, criminal charges were brought against KGTA Petroleum co-owner and operator Kenneth A. ...

15
Apr

WARNING! Impending Investigation–VITO BALSAMO and NATIONAL SECURITIES CORPORATION

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Vito Balsamo and National Securities Corporation Have you lost money with financial advisor Vito J. Balsamo of New York City?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Vito Balsamo.  FINRA is investigating Balsamo for allegations that he engaged in outside business activities without notifying his firm, National Securities Corporation.  ...

10
Apr

WARNING! Impending Investigation–DOUGLAS W. FINLAY JR. and CADARET GRANT & COMPANY

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Douglas W. Finlay Jr. and Cadaret Grant & Company Have you lost money with financial advisor Douglas W. Finlay Jr.?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Douglas Finlay, Jr., from Point Pleasant, New Jersey.  FINRA alleges that Finlay concentrated a customer’s portfolio in illiquid, non-traded REITs (real estate ...

09
Apr

WARNING! Impending Investigation–PERRY S. ABBONIZIO and WELLS FARGO ADVISORS

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Perry S. Abbonizio and Wells Fargo Advisors Have you lost money with financial advisor Perry Stephen Abbonizio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Perry Abbonizio, from Conshohocken, Pennsylvania.  FINRA alleges that Abbonizio participated in private securities transactions without approval from his securities brokerage firm, Wells Fargo Advisors.  FINRA ...

09
Apr

WARNING! Impending Investigation–LPL FINANCIAL and NON-TRADED REITs

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LPL Financial and Non-traded REITs   Have you lost money investing in non-traded REITs through LPL Financial? We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  The New Hampshire Bureau of Securities Regulation fined LPL Financial $1.2 million for the sales of non-traded REITs (or real estate investment trusts) ...

08
Apr

WARNING! Impending Investigation–DANIEL R. MURPHY and CHADBOURN PARTNERS

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Daniel R. Murphy and Chadbourn Partners Have you lost money with financial advisor Daniel R. Murphy from Jacksonville, Florida?  We are investigating allegations made by the SEC (Securities and Exchange Commission) and the Colorado Division of Securities against Daniel Murphy.  A regulatory complaint was brought against Murphy in August 2014, alleging that Murphy committed fraud ...

07
Apr

WARNING! Impending Investigation–JAMES E. NEILSEN, TRADITION ASIEL SECURITIES, SOUND SECURITIES, and LONGSHIP ALTERNATIVE ASSET MGMT.

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JAMES E. NEILSEN, TRADITION ASIEL SECURITIES INC., SOUND SECURITIES, LLC, LONGSHIP ALTERNATIVE ASSET MANAGEMENT Have you suffered investment losses with JAMES E. NEILSEN, TRADITION ASIEL SECURITIES INC., SOUND SECURITIES, LLC, OR LONGSHIP ALTERNATIVE ASSET MANAGEMENT of Norwalk, Connecticut? We are currently investigating a March 31, 2015 Order entered by the Connecticut Bankruptcy Commission whereby James ...

06
Apr

WARNING! Impending Investigation–RONALD PAUL RAFALOFF and LIBERTY PARTNERS FINANCIAL SERVICES

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Ronald Paul Rafaloff and Liberty Partners Financial Services Have you lost money with financial advisor Ronald Paul Rafaloff, a former investment advisor for Liberty Partners Financial Services?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Ronald Rafaloff. FINRA alleged that Rafaloff defrauded and exploited a 74 year old ...

03
Apr

WARNING! Impending Investigation–DOUGLAS J. DANNHARDT and PROSPERA FINANCIAL SERVICES INC.

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Douglas J. Dannhardt and Prospera Financial Services Inc. Have you lost money with financial advisor Douglas J. Dannhardt from Dallas, Texas?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Dannhardt. FINRA alleged that Douglas Dannhardt made unsuitable recommendations to his customers to switch from one mutual fund to ...

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