(720) 599-3505

UPDATE! BRANT RAY – Southhaven, Mississippi

31
May

UPDATE! BRANT RAY – Southhaven, Mississippi

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UPDATE!  BRANT RAY – Southhaven, Mississippi

Brant Ray, formerly of Commonwealth Financial Network, Subject of Second FINRA Complaint   Have you lost money with financial advisor Brant Ray of Southhaven, Mississippi?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Brant Andrew Ray. FINRA was investigating Ray after he was alleged to have borrowed ...

30
May

Investor Warning! LAURENCE BALTER – Fox Island, WA

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Investor Warning!  LAURENCE BALTER – Fox Island, WA

SEC Bars Laurence Balter of Fox Island, Washington from the Securities Industry   Have you lost money with investment advisor Laurence Balter of Fox Island, Washington?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Laurence I. Balter, a former registered investment advisor with Oracle Investment Research.  Balter previously managed a ...

30
May

CHRISTOPHER JORGENSEN – Setauket, NY

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CHRISTOPHER JORGENSEN – Setauket, NY

Christopher Jorgensen, formerly of Summit Brokerage Services, Barred from Securities Industry   Have you lost money with financial advisor Christopher Jorgensen of Setauket, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher S. Jorgensen. FINRA barred Jorgensen from the securities industry after he failed to respond to a ...

23
May

Investor Warning! CHRISTOPHER LIPPUS – Farmingdale, NY

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Investor Warning!  CHRISTOPHER LIPPUS – Farmingdale, NY

Christopher Lippus, formerly of Arive Capital Markets, Barred from Securities Industry   Have you lost money with financial advisor Christopher Lippus of Farmingdale, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher M. Lippus. FINRA barred Lippus from the securities industry after he failed to respond to a ...

19
May

UPDATE! RICHARD MCCOLLAM SUSPENDED

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UPDATE!   RICHARD MCCOLLAM SUSPENDED

Richard McCollam, formerly of National Planning Corp., Suspended Nine Months by FINRA   Have you lost money with financial advisor Richard McCollam of Lafayette, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard A. McCollam. FINRA was investigating Richard McCollam regading allegations that he willfully failed to disclose two ...

17
May

WARNING! Investigation: RICHARD MCCOLLAM of LAFAYETTE, CA

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WARNING!  Investigation:  RICHARD MCCOLLAM of LAFAYETTE, CA

Richard McCollam, formerly of National Planning Corp., Subject of FINRA Investigation   Have you lost money with financial advisor Richard McCollam of Lafayette, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard A. McCollam. FINRA is investigating Richard McCollam regading allegations that he willfully failed to disclose two customer ...

17
May

WARNING! Investigation: LANDON WILLIAMS of JACKSONVILLE, FL

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WARNING!  Investigation:  LANDON WILLIAMS of JACKSONVILLE, FL

Landon Williams, formerly of Merrill Lynch, Subject of FINRA Complaint   Have you lost money with financial advisor Landon Williams of Jacksonville, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Landon L. Williams. FINRA is investigating Landon Williams regarding allegations that he made false and misleading representations to customers ...

15
May

Investor Alert! CURTIS RIDLON – Bedford, NH

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Investor Alert!  CURTIS RIDLON – Bedford, NH

Curtis Ridlon from Bedford, New Hampshire and Waddell & Reed Barred from Securities Industry and Fined Over $6 Million   Have you lost money with financial advisor Curtis Ridlon of Bedford, New Hampshire?  We are investigating allegations made by the New Hampshire Securities Bureau against Curtis S. Ridlon.  New Hampshire alleged that Ridlon had improperly ...

12
May

WARNING! Investigation: EUGENE RIGGIO of HAWTHORNE, NY

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WARNING!  Investigation:  EUGENE RIGGIO of HAWTHORNE, NY

Eugene Riggio, formerly of Wilmington Capital Securities, Barred from Securities Industry   Have you lost money with financial advisor Eugene Riggio of Hawthorne, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Eugene A. Riggio. FINRA barred Riggio from the securities industry after he failed to respond to a ...

11
May

WARNING! Investigation: ANTHONY CUMMINGS of LUTHERVILLE, MD

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WARNING!  Investigation:  ANTHONY CUMMINGS of LUTHERVILLE, MD

Anthony Cummings, formerly of Edward Jones, Barred by FINRA   Have you lost money with financial advisor Anthony Cummings of Lutherville Timonium, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony John Cummings. FINRA was investigating Cummings after he was alleged to have converted $60,000 from a client with ...

10.0David P Neuman

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