(720) 599-3505

WARNING! Impending Investigation–PAUL A. GODLEWSKI and ALLSTATE FINANCIAL SERVICES

02
Apr

WARNING! Impending Investigation–PAUL A. GODLEWSKI and ALLSTATE FINANCIAL SERVICES

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Paul A. Godlewski and Allstate Financial Services Have you lost money with financial advisor Paul J. Godlewski of Coatesville, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul Godlewski.  Godlewski was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Godlewski ...

02
Apr

WARNING! Impending Investigation–JON L. COX and LPL FINANCIAL

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Jon L. Cox and LPL Financial Have you lost money with financial advisor Jon L. Cox of Knoxville, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jon “Larry” Cox.  Cox was barred from the securities investigation after he failed to respond to a FINRA investigation.  FINRA was investigating Cox ...

02
Apr

WARNING! Impending Investigation–THOMPSON NATIONAL PROPERTIES and TNP SECURITIES

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Thompson National Properties and TNP Securities Have you lost money with in investments with Thompson National Properties and TNP Securities?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against TNP Securities and Thompson National Properties former CEO Anthony Warren Thompson.  This week, Thompson was barred from the securities industry by FINRA, ...

02
Apr

ARBITRATION AWARD AGAINST LANIS D. NOBLE and STIFEL NICOLAUS & COMPANY

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Arbitration Award Against Lanis D. Noble and Stifel Nicolaus & Company   In Gilbert v. Lanis D. Noble and Stifel Nicolaus & Company, FINRA No. 12-02897, a customer Claimant sued Lanis Noble and Stifel Nicolaus & Company alleging breach of fiduciary duty and churning.  The Claimant alleged that Noble and Stifel used margin in her ...

02
Apr

WARNING! Impending Investigation–DANIEL P. GLAVIN and COUNTRY CAPITAL MANAGEMENT CO.

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Daniel P. Glavin and Country Capital Management Company Have you lost money with financial advisor Daniel P. Glavin from Orland Park, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Glavin.  FINRA alleges that Glavin stole at least $45,000 from a customer.  He was alleged to have told a ...

01
Apr

WARNING! Impending Investigation–H. BECK, LASALLE STREET SECURITIES and J.P. TURNER & CO.

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H. Beck, LaSalle Street Securities, and J.P. Turner & Co. FINRA recently brought regulatory actions against three member firms for their failure to supervise consolidated reports sent to clients.  FINRA (the Financial Industry Regulatory Authority) brought claims against H. Beck, LaSalle Street Securities, and J.P. Turner & Company, alleging that they failed to properly supervise ...

01
Apr

WARNING! Impending Investigaion–MOODY SECURITIES LLC and MOODY NATIONAL REIT I

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Moody Securities LLC and Moody National REIT I   We are currently investigating allegations made against Moody Securities LLC, a Houston, Texas-based securities brokerage firm.  Moody Securities is primarily a wholesaling dealer-manager of the Moody National REIT I, a publicly-held, non-traded REIT (or real estate investment trust).  Moody Securities derives virtually all of its income ...

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