(720) 599-3505

INVESTOR ALERT! Jeff Wilson – Las Cruces, NM

15
Mar

INVESTOR ALERT! Jeff Wilson – Las Cruces, NM

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INVESTOR ALERT!  Jeff Wilson – Las Cruces, NM

Arbitration Award Against Wells Fargo Advisors Regarding Advisor Jeff Wilson   In Pryor v. Wells Fargo Advisors, a claimant brought claims against Wells Fargo Advisors, LLC, regarding the conduct of financial advisor Jeff R. Wilson from Las Cruces, New Mexico.  The claimant alleged fraud, negligent misrepresentation, breach of fiduciary duty, negligent supervision, and violations of ...

13
Mar

INVESTOR ALERT! Michael Mason, Edward Jones – Cordova, TN

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INVESTOR ALERT!  Michael Mason, Edward Jones – Cordova, TN

Michael Mason, formerly of Edward Jones, Barred by FINRA   Have you lost money with financial advisor Michael Mason of Cordova, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Jean-Paul Mason. FINRA barred Mason after he failed to respond to an investigation regarding allegations of falsifying client information ...

13
Mar

UPDATE! Glenn McDowell – New York, NY

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UPDATE!  Glenn McDowell – New York, NY

Glenn McDowell Barred by FINRA for Unauthorized Trading   Have you lost money with financial advisor Glenn McDowell of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Glenn McDowell, also known as Clemond St. Aubyn McDowall. In October 2016, FINRA filed a complaint against McDowell, alleging ...

08
Mar

UPDATE! Tripoint Global Equities PONZI Scheme

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UPDATE!  Tripoint Global Equities PONZI Scheme

Tripoint Global Equities Sued Over Investment in Hamilton Ticket Ponzi Scheme   The media has recently covered news about a Ponzi scheme involving the purchase and resale of tickets to shows such as Hamilton the musical, Adele, and others.  As reported by Investmentnews.com, an investor recently sued a securities brokerage firm called Tripoint Global Equities ...

07
Mar

INVESTOR ALERT! Southeast Investments, N.C.

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INVESTOR ALERT!  Southeast Investments, N.C.

Southeast Investments, N.C., Inc. and Frank H. Black   We are currently investigating allegations made against Southeast Investments, N.C., Inc., a Charlotte, North Carolina-based securities brokerage firm, and its former President, Chief Compliance Officer, Chief Financial Officer, and FINOP, Frank H. Black.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Southeast Investments, ...

07
Mar

INVESTOR ALERT! Losses in ForceField Energy?

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INVESTOR ALERT!  Losses in ForceField Energy?

Losses in ForceField Energy, Inc.?   Have you lost money investing in ForceField Energy, Inc.?  The Securities and Exchange Commission (SEC) recently brought a complaint against a number of individuals who operated ForceField Energy (formerly known as SunSi Energies), as well as a number of financial advisors and stockbrokers who recommended that their customers invest ...

03
Mar

INVESTOR ALERT! Cecil Nivens – Gastonia, NC

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INVESTOR ALERT!  Cecil Nivens – Gastonia, NC

Cecil Nivens from Gastonia, North Carolina, Subject of FINRA Complaint   Have you lost money with financial advisor Cecil Nivens of Gastonia, North Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Cecil E. Nivens. FINRA brought a complaint against Nivens, alleging that he recommended that his customers purchase variable ...

01
Mar

INVESTOR ALERT! Harold Pomeranz – Garden City, NY

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INVESTOR ALERT!  Harold Pomeranz – Garden City, NY

Harold Pomeranz from Garden City, New York Suspended For UIT Recommendations   Have you lost money with financial advisor Harold Pomeranz from Garden City, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Harold S. Pomeranz. FINRA alleged that Harold Pomeranz made unsuitable recommendations to his customers ...

01
Mar

UPDATE! Thomas Charbonneau – Feltl & Company

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UPDATE!  Thomas Charbonneau – Feltl & Company

Thomas Charbonneau of Feltl & Company   Have you lost money with financial advisor Thomas Charbonneau from Lilydale, Minnesota?  Thomas Charbonneau was barred by FINRA (the Financial Industry Regulatory Authority) in 2014 in connection with a pump-and-dump scheme and for allowing a customer to sign blank forms.  In February 2017, FINRA also alleged that Feltl ...

01
Mar

UPDATE! Craig Dima Barred by FINRA

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UPDATE!  Craig Dima Barred by FINRA

Craig Dima of Ronkonkoma, New York Barred by FINRA   Have you lost money with financial advisor Craig Dima of Ronkonkoma, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Craig D. Dima. FINRA filed a complaint against Dima, alleging that he engaged in unauthorized trading in the account ...

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