(720) 599-3505

UPDATE! Investigation of BRYAN ANDERSON, TERRY BAGWELL, and PRUCO SECURITIES

17
Nov

UPDATE! Investigation of BRYAN ANDERSON, TERRY BAGWELL, and PRUCO SECURITIES

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UPDATE!  Investigation of BRYAN ANDERSON, TERRY BAGWELL, and PRUCO SECURITIES

INVESTOR WARNING!  Bryan W. Anderson, Terry  Bagwell and Pruco Securities LLC   We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Terry Bagwell, an advisor in Birmingham, Alabama.  Bagwell was alleged to be the supervisor designated to supervise another registered representative (Bryan Wayne Anderson) of Pruco Securities that sold $8.4 million ...

16
Nov

WARNING! Investigation of JOHN HUDNALL–San Francisco, CA

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WARNING!  Investigation of JOHN HUDNALL–San Francisco, CA

INVESTOR WARNING:  John Hudnall, REITs, and Annuities   Have you lost money with financial advisor John Hudnall of San Francisco, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John S. Hudnall. FINRA barred Hudnall from the securities industry regarding allegations that he purposely split up sales of REITs (real ...

16
Nov

WARNING! Investigation of DAVID MAJOR–New York, NY

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WARNING!  Investigation of DAVID MAJOR–New York, NY

INVESTOR WARNING!  David Major from New York, New York   Have you lost money with financial advisor David Major of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David W. Major. FINRA barred Major from the securities industry after he failed to respond to a FINRA ...

16
Nov

WARNING! Investigation of HARRY BENNETT–New Boston, Michigan

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WARNING!  Investigation of HARRY BENNETT–New Boston, Michigan

INVESTOR WARNING!  Harry Bennett from New Boston, Michigan   Have you lost money with financial advisor Harry Bennett of New Boston and Woodhaven, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Harry C. Bennett. FINRA barred Bennett after he failed to respond to an investigation that he charged excessive ...

16
Nov

WARNING! Investigation of THOMAS OMARK of Erie, Pennsylvania

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WARNING!  Investigation of THOMAS OMARK of Erie, Pennsylvania

INVESTOR WARNING!  Thomas Omark from Erie, Pennsylvania   Have you lost money with financial advisor Thomas Omark of Erie, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas E. Omark.  FINRA alleged that Omark executed trades in at least four customer accounts without prior written authorization from the customers, ...

16
Nov

UPDATE! Claus Foerster Sentenced to Only Two Years for $3 Million Ponzi Scheme

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UPDATE!  Claus Foerster Sentenced to Only Two Years for $3 Million Ponzi Scheme

Claus Foerster, Former Raymond James and Morgan Keegan Advisor, Sentenced to Only Two Years for $3 Million Ponzi Scheme   Have you lost money investing with Claus Foerster of Greenville, South Carolina?  According to wsoctv.com, Foerster was indicted in March 2016 for running a $3 million Ponzi scheme.  Foerster was previously employed as a financial advisor ...

15
Nov

WARNING! Investigation of LINCOLN FINANCIAL SECURITIES and CONSOLIDATED REPORTS

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WARNING!  Investigation of LINCOLN FINANCIAL SECURITIES and CONSOLIDATED REPORTS

INVESTOR WARNING!  Lincoln Financial Securities Corp. and Consolidated Reports   We are currently investigating allegations made against Lincoln Financial Securities Corp., a Fort Wayne, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lincoln Financial Securities Corp., making allegations regarding its failure to supervise consolidated reports from December 2010 ...

15
Nov

WARNING! Investigation: PAUL ALEXANDER of PALM BEACH GARDENS, FL

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WARNING!  Investigation: PAUL ALEXANDER of PALM BEACH GARDENS, FL

INVESTOR WARNING!  Paul Alexander from Palm Beach Gardens, Florida   Have you lost money with financial advisor Paul Alexander of Palm Beach Gardens, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul M. Alexander, Jr. FINRA suspended Alexander for 20 days regarding allegations that he exercised discretionary power in ...

14
Nov

WARNING! Investigation of JONATHAN ALTMAN and REVERE SECURITIES

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WARNING!  Investigation of JONATHAN ALTMAN and REVERE SECURITIES

Jonathan Altman, Revere Securities LLC Sued by Massachusetts Securities Division   Have you lost money with financial advisor Jonathan Altman of New York, New York?  We are investigating allegations made by the Massachusetts Securities Division against Jonathan E. Altman, a former advisor at Revere Securities LLC.  Revere Securities is based out of New York, New ...

14
Nov

1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs

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1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs

1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against 1st Discount Brokerage, a Lake Worth, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against 1st Discount Brokerage.  FINRA alleged that 1st Discount Brokerage failed to have procedures in place to ...

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