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OctWARNING! Impending Investigation: CAPITAL SECURITIES MANAGEMENT and REVERSE CONVERTIBLES
Capital Securities Management, Inc. and Reverse Convertibles We are currently investigating allegations made against Capital Securities Management, Inc., a Minneapolis, Minnesota-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Capital Securities Management, alleging that it failed to reasonably supervise the sales of reverse convertibles, among several other allegations. ...
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OctWARNING! Impending Investigation: WUNDERLICH SECURITIES and ETFs
Wunderlich Securities, Inc. and ETFs We are currently investigating allegations made against Wunderlich Securities, Inc., a Memphis, Tennessee-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Wunderlich Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ETFs from July 2012 to ...
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OctLOSSES WITH FINANCIAL ADVISOR, JASON FIGUEROA, GMS GROUP LLC, ETFs, and EXCHANGE TRADED NOTES
Impending Investigation: Jason Figueroa, GMS Group LLC, ETFs, and Exchange Traded Notes Have you lost money with financial advisor Jason L. Figueroa from Boca Raton, Florida? We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Jason Figueroa. Figueroa was barred from the securities industry by FINRA after he used ...
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OctWARNING! Impending Investigation: JOSEPH DAIGNEAULT and INVESTORS CAPITAL CORP.
Joseph Daigneault and Investors Capital Corp. Have you lost money with financial advisor Joseph Daigneault of Biddeford, Maine? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joseph Daigneault. FINRA investigated Daigneault, alleging that he provided inaccurate information regarding the value of investor holdings on consolidated reports that he provided to ...
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OctWARNING! Impending Investigation: ANDREW L. QUINN and STIFEL NICOLAUS & COMPANY
Investigation of: Andrew L. Quinn and Stifel Nicolaus & Company Have you lost money with financial advisor Andrew Quinn of Reno, Nevada? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Andrew Quinn. FINRA barred Quinn from the securities industry after he failed to respond to a FINRA investigation. FINRA ...
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OctWARNING! Impending Investigation: ANTHONY C. GRAY and EDWARD JONES
Anthony C. Gray and Edward Jones Have you lost money with financial advisor Anthony Gray of Baton Rouge, Louisiana? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony C. Gray. FINRA barred Gray from the securities industry after he was alleged to have stolen $138,000 from an elderly couple ...
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OctWARNING! Impending Investigation: LIAM O’KEEFFE and MERRILL LYNCH
Investigation of: Liam O’Keeffe and Merrill Lynch Have you lost money with financial advisor Liam O’Keeffe of Southbury, Connecticut? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Liam O’Keeffe. FINRA barred O’Keeffe from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating O’Keeffe ...
26
OctWARNING! Impending Investigation: MARK J. PROKAY and W&S BROKERAGE SERVICES, INC.
Investigation: Mark J. Prokay and W&S Brokerage Services, Inc. Have you lost money with financial advisor Mark Prokay of New Castle, Pennsylvania? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mark J. Prokay. FINRA barred Prokay from the securities industry after he failed to respond to a FINRA investigation. ...
26
OctUPDATE: Investigation of MARC A. ARENA of National Securities Corp. and Newport Coast Securities
UPDATE to Israels & Neuman, PLC investigation of MARC A. ARENA of NATIONAL SECURITIES CORPORATION and NEWPORT COAST SECURITIES, INC. of Westbury, New York Israels & Neuman, PLC previously reported that FINRA, the Financial Industry Regulatory Authority named Marc Arena as a Respondent in a Complaint alleging that he failed to adequately supervise a ...
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OctWARNING! Impending Investigation: NEWPORT COAST SECURITIES and AARON HEIMOWITZ
Aaron Heimowitz and Newport Coast Securities Have you lost money with financial advisor Aaron Heimowitz of Kew Gardens, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Aaron Heimowitz. FINRA alleged that Heimowitz sold investments to his clients without permission from his brokerage firm, Newport Coast Securities, which ...
