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OctWARNING! Investigation of JEFFERY WALDERA
Jeffery Waldera, from Onalaska, Wisconsin, Suspended for Five Months by FINRA Have you lost money with financial advisor Jeffery Waldera of Onalaska, Wisconsin? We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffery J. Waldera. FINRA brought a regulatory complaint against Waldera. FINRA was investigating Waldera regarding ...
26
OctINVESTOR ALERT! Thomas Breslin of LPL FINANCIAL Suspended
Thomas Breslin, formerly of LPL Financial, Suspended from Securities Industry for Five Months Have you lost money with financial advisor Thomas Breslin of San Diego, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas J. Breslin, Jr. FINRA suspended Breslin from the securities industry for five months and ...
25
OctWARNING! Investigation – LANDON WILLIAMS
Landon Williams, formerly of Merrill Lynch, Suspended Two Years by FINRA Have you lost money with financial advisor Landon Williams of Jacksonville, Florida? We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Landon L. Williams. FINRA began investigating Landon Williams regarding allegations that he made false and ...
21
OctWARNING! Impending Investigation – RICK KONECNY
Rick Konecny from Chicago, Illinois Suspended From Securities Industry Have you lost money with financial advisor Rick Konecny of Chicago, Illinois? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Rick D. Konecny. FINRA suspended Rick Konecny from the securities industry after he failed to respond to an investigation. FINRA ...
20
OctWARNING! Impending Investigation – DANIEL MULLAN
Daniel Mullan from Melville, New York Barred From Securities Industry Have you lost money with financial advisor Daniel Mullan of Melville, New York? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Daniel P. Mullan. FINRA barred Daniel Mullan from the securities industry after he failed to respond to an ...
18
OctWARNING! Impending Investigation – JOSEPH COTTER
Joseph Cotter from Charlotte, North Carolina, Suspended for Excessive Trading We are currently investigating allegations made against Joseph L. Cotter, a financial advisor from Charlotte, North Carolina who previously worked with Next Financial Group. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Cotter making various allegations, including that Cotter engaged ...
18
OctWARNING! Investigation of COLEMAN DEVLIN
Coleman Devlin, formerly of Stifel Nicolaus & Company, Suspended by FINRA Have you lost money with financial advisor Coleman Devlin of Baltimore, Maryland? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Coleman J. Devlin. FINRA suspended Devlin from the securities industry for 30 days and fined him $5,000 regarding ...
17
OctInvestigation of Robert DelGuercio – New Jersey
Robert DelGuercio from Iselin, New Jersey Barred From Securities Industry Have you lost money with financial advisor Robert DelGuercio of Iselin, New Jersey? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Robert Baldwin Del Guercio. FINRA barred Robert DelGuercio from the securities industry after he failed to respond to ...
17
OctWARNING! Investigation of JASPER BOYKIN
Jasper Boykin from Atlanta, Georgia Subject of FINRA Complaint Have you lost money with financial advisor Jasper Boykin of Atlanta, Georgia? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Jasper E. Boykin, Jr. FINRA filed a complaint against Jasper Boykin after he failed to respond to an investigation. FINRA ...
15
OctWARNING! Impending Investigation of ANDREW HARDIE
Andrew Hardie, formerly with Stifel Nicolaus, Subject of SEC Complaint Have you lost money with financial advisor Andrew Hardie of Rogers, Arkansas? We are investigating allegations made by the Arkansas Securities Department. Arkansas alleged that Hardie bought and sold inverse and leveraged ETFs (exchange traded funds) in his customers’ accounts without having a reasonable ...
