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PETER ORLANDO of Warwick, Rhode Island BARRED!

30
Jan

PETER ORLANDO of Warwick, Rhode Island BARRED!

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PETER ORLANDO of Warwick, Rhode Island BARRED!

Peter Orlando, formerly with MetLife Securities, Barred by FINRA   Have you lost money with financial advisor Peter Orlando of Warwick, Rhode Island?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Peter Orlando. FINRA barred Orlando from the securities industry regarding allegations that he made an unsuitable recommendation to ...

28
Jan

UPDATE! KYUSUN KIM or “Kenny Kim” of Independent Financial Group

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UPDATE!  KYUSUN KIM or “Kenny Kim” of Independent Financial Group

Kyusun Kim, formerly of Independent Financial Group, Subject of Arizona Corporation Commission Complaint   Have you lost money with financial advisor Kyusun Kim of San Diego, California?  We are continuing our investigation into allegations made by the Arizona Corporation Commission against Kyusun or “Kenny” Kim.  Kim was the subject of this complaint because he was ...

25
Jan

INVESTIGATION: KRISTIAN GAUDET of Ameritas – Cut Off, LA

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INVESTIGATION:  KRISTIAN GAUDET of Ameritas – Cut Off, LA

Kristian Gaudet, formerly with Ameritas Investment Corp., Barred by FINRA   Have you lost money with financial advisor Kristian Gaudet of Cut Off, Louisiana?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Kristian M. Gaudet. FINRA barred Gaudet from the securities industry after he failed to respond to a ...

25
Jan

INVESTIGATION of WILLIAM HEIDEN and Unauthorized Transactions

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INVESTIGATION of WILLIAM HEIDEN and Unauthorized Transactions

William Heiden, formerly with Wedbush Securities and Morgan Stanley, Subject of FINRA Complaint   Have you lost money with financial advisor William Heiden of Newport Beach, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William Mark Heiden. FINRA was investigating William Heiden after he was alleged to have engaged ...

24
Jan

COMPLAINTS Against BRIAN RIEMAN of Hennion & Walsh – New Jersey

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COMPLAINTS Against BRIAN RIEMAN of Hennion & Walsh – New Jersey

Brian Rieman, with Hennion & Walsh, Subject of Five Customer Complaints   Have you lost money with financial advisor Brian Rieman of Parsippany, New Jersey?  We are investigating allegations made against Brian C. Rieman.  According to FINRA’s BrokerCheck, Rieman has been the subject of five customer complaints, all of which were filed within the last ...

18
Jan

UPDATE! JAY WEISER of DesPain Financial Barred – Earlville, IL

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UPDATE!  JAY WEISER of DesPain Financial Barred – Earlville, IL

Jay Weiser, formerly with DesPain Financial Corp., Barred by FINRA   Have you lost money with financial advisor Jay Weiser from Earlville, Illinois investing in Woodbridge?  We are looking into allegations made FINRA (the Financial Industry Regulatory Authority) against Jay R. Weiser.  Weiser was barred from the securities industry by FINRA after he failed to ...

17
Jan

SECURITIES FRAUD: JOHN BUCK of Morgan Stanley Pleads GUILTY

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SECURITIES FRAUD:  JOHN BUCK of Morgan Stanley Pleads GUILTY

John Buck, formerly of Morgan Stanley, Pleads Guilty to Securities Fraud   Have you lost money with financial advisor John H. Buck of Boston, Massachusetts?  We are continuing to look into allegations made by against John H. Buck III. Buck was previously the subject of a complaint by FINRA (the Financial Industry Regulatory Authority).  FINRA ...

14
Jan

Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

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Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

Donald Logan from Silverdale, Washington Suspended for Eighteen Months from Securities Industry   Have you lost money with financial advisor Donald Logan of Silverdale, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Donald Logan. FINRA suspended Logan from the securities industry for eighteen months and fined him $25,000.  FINRA ...

14
Jan

COMPLAINTS: DENNIS HAYES, Newbridge Securities, and Salomon Whitney

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COMPLAINTS:  DENNIS HAYES, Newbridge Securities, and Salomon Whitney

Dennis Hayes, formerly with Newbridge Securities Corp. and Salomon Whitney Financial, Subject of FINRA Complaint   Have you lost money with financial advisor Dennis Hayes of Charlotte, North Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis Allen Hayes. FINRA was investigating Dennis Hayes after he was alleged to ...

13
Jan

ALERT! KIMM HANNAN Found GUILTY of Investment Fraud

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ALERT!  KIMM HANNAN Found GUILTY of Investment Fraud

Kimm Hannan from Jackson Township, Ohio Found Guilty of Investment Fraud   Have you lost money with financial advisor Kimm Hannan, formerly of Jackson Township, Ohio?  On January 18, 2019, Kimm C. Hannan was found guilty of investment fraud, according to Inde Online.  Hannan is scheduled to be sentenced on January 22, 2019.  Hannan could ...

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