25
JunUPDATE! RANDY POULSON PLEADS GUILTY
Update – Randy Poulson Pleads Guilty We previously blogged about our investigation into potential claims regarding Equity Trust Company, Ephren Taylor, and Randy Poulson. Last week, the Securities and Exchange Commission (SEC) brought a regulatory action against Equity Trust Company. According the SEC’s allegations, Equity Trust Company acts primarily as a custodian of self-directed IRAs, ...
24
JunUPDATE! Phil D. Williamson Charged With Fraud
Investment Adviser Phil D. Williamson Charged with Fraud Have you lost money with financial advisor Phil D. Williamson from Palmetto Bay and Miami, Florida? We are investigating allegations made by the SEC and reported by the Miami Herald made against Phil Donnahue Williamson. The SEC alleged that Phil Williamson was operating a Ponzi scheme. He ...
24
JunUPDATE! Investigation of VITO J. BALSAMO and NATIONAL SECURITIES CORP.
Vito J. Balsamo and National Securities Corp. 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 barred Vito Balsamo from the securities industry after he failed to respond to a FINRA investigation. FINRA investigated ...
24
JunWARNING! Impending Investigation: RICHARD E. WHITLEY and H.D. VEST INVESTMENT SERVICES
Richard E. Whitley and H.D. Vest Investment Services Have you lost money with financial advisor Richard E. Whitley of Elkin, North Carolina? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard Whitley. Whitley was barred from the securities industry after he failed to respond to a FINRA investigation. FINRA was ...
24
JunWARNING! Impending Investigation: CRAIG L. JOSEPHBERG and EXCESSIVE TRADING
Craig L. Josephberg, and Excessive Trading We are currently investigating allegations made against Craig L. Josephberg, a financial advisor from New York City. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Josephberg making various allegations, including that a) he introduced his brokerage firm, Halcyon Cabot Partners, to an institutional investor ...
22
JunUPDATE! Keith M. Rogers and G.L.S. & Associates, Inc.
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. According to AL.com, Keith Rogers was recently arrested and accused of committing stock fraud and other related charges. In ...
18
JunWARNING! Impending Investigation: ANTHONY G. EPPS and NY LIFE DISTRIBUTORS
Anthony G. Epps and NY Life Distributors Have you lost money with financial advisor Anthony L. Epps of White Plains and Sleepy Hollow, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony Epps. Epps was suspended from the securities industry for one year following FINRA’s investigation regarding selling ...
17
JunWARNING! Impending Investigation: EQUITY TRUST COMPANY, EPHREN TAYLOR, and RANDY POULSON
Equity Trust Company, Ephren Taylor, and Randy Poulson We are currently investigating potential claims regarding Equity Trust Company, Ephren Taylor, and Randy Poulson. Earlier this week, the Securities and Exchange Commission (SEC) brought a regulatory action against Equity Trust Company. According the SEC’s allegations, Equity Trust Company acts primarily as a custodian of self-directed IRAs, ...
17
JunWARNING! Impending Investigation: WILLIAM BENTON GUIDO and FSC SECURITIES CORPORATION
Israels & Neuman, PLC Investigates Orders Entered by the Securities Commissioner of South Carolina and The Alabama Securities Commission Related to William Benton Guido and Regulatory Actions Taken While He Was Registered With FSC Securities Corporation. Have you lost money with William Benton Guido, FSC Securities Corporation, and LPL Financial, LLC? On January ...
16
JunWARNING! Impending Investigation: JULIUS F. KENNEY and LPL FINANCIAL
Julius F. Kenney IV and LPL Financial Have you lost money with financial advisor Julius F. Kenney IV of Calhoun, Georgia? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Julius Kenney. Kenney was barred from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating ...
