(720) 599-3505

Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts

27
Feb

Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts

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Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts

Have you lost money with financial advisor James Schwartz of Aegis Capital Corp.?   We are investigating allegations made about James Bradley Schwartz of Melville, New York.  FINRA (the Financial Industry Regulatory Authority) seeks to bar Schwartz from the securities industry.  FINRA was investigating James Schwartz, a broker who previously worked with Aegis Capital Corp., ...

26
Feb

INVESTIGATION of DIANE MADDOX Complaints

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INVESTIGATION of DIANE MADDOX Complaints

Have you lost money with financial advisor Diane Maddox of Investors Capital and Cetera Advisors?    We are investigating allegations made against Diane Maddox of Derry and Salem, New Hampshire, who was recently the subject of a complaint made by the New Hampshire Securities Bureau.  New Hampshire alleged that Maddox recommended that a couple purchase ...

25
Feb

MARK ROGERS of SII Investments BARRED by Arkansas

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MARK ROGERS of SII Investments BARRED by Arkansas

Have you lost money with financial advisor Mark Rogers of Little Rock, Arkansas?   We are investigating allegations made by the Arkansas Securities Department against Mark Steven Rogers of SII Investments. Arkansas barred Rogers from the securities industry in the State of Arkansas after he allegedly recommended that his clients invest in a number of ...

25
Feb

INVESTIGATION: ERIC ROLSHOVEN of FSC Securities

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INVESTIGATION:  ERIC ROLSHOVEN of FSC Securities

Have you lost money with financial advisor Eric Rolshoven of FSC Securities Corp.?    We are investigating allegations of former customers related to Eric Rolshoven (CRD # 1601679)  who has worked in Missoula, Montana; Florence, Montana; and Eagle, Idaho. Eric D. Rolshoven’s CRD report, a public record maintained by FINRA, states that Rolshoven has been ...

22
Feb

Have You Lost Money with JOHN SPACH of Aliso Viejo, CA?

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Have You Lost Money with JOHN SPACH of Aliso Viejo, CA?

John Spach, formerly with Kestra Investment Services, Barred by FINRA   Have you lost money with financial advisor John Spach of Aliso Viejo, California?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against John William Spach. FINRA barred Spach from the securities industry after he failed to respond to a ...

22
Feb

BRUCE WORTHINGTON of Commonwealth Financial Sued by Securities Division

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BRUCE WORTHINGTON of Commonwealth Financial Sued by Securities Division

Bruce Worthington, of Commonwealth Financial Network, Sued by Massachusetts Securities Division   Have you lost money with financial advisor Bruce Worthington of Middleton, Massachusetts?  We are investigating allegations made by the Massachusetts Securities Division against Bruce C. Worthington, a former advisor at Commonwealth Financial Network and Founders Financial Securities.   Massachusetts alleged that Worthington stole ...

19
Feb

Michael Rappa of Foresters Equity Services, Barred from Securities Industry

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Michael Rappa of Foresters Equity Services, Barred from Securities Industry

Have you lost money with financial advisor Michael Rappa of Foresters Equity Services in San Diego, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Michael J. Rappa.  Rappa was being investigated regarding allegations that he sold $2.7 million in investments in the Woodbridge Group of Companies.  Last year, ...

19
Feb

Kirk Bertsch, of Farmers Financial Solutions, Suspended from Securities Industry

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Kirk Bertsch, of Farmers Financial Solutions, Suspended from Securities Industry

Have you lost money with financial advisor Kirk Bertsch of Farmers Financial Solutions in  Spearfish, South Dakota?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Kirk J. Bertsch. FINRA suspended Bertsch from the securities industry for one month and ordered him to disgorge $1,500 in commissions.  Bertsch was being ...

18
Feb

John Maccoll of UBS Financial Services Sentenced to 9 Years in Prison

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John Maccoll of UBS Financial Services Sentenced to 9 Years in Prison

John Maccoll of UBS Financial Services, Sentenced to 9 Years in Prison   Have you lost money with financial advisor John Maccoll of Birmingham and Rochester Hills, Michigan?  We are continuing to look into allegations made against John Maccoll, a former advisor with UBS Financial Services.  Maccoll was recently sentenced to serve nine years in ...

17
Feb

Marvin Thomas White of Farmers Financial Solutions, Barred by FINRA

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Marvin Thomas White of Farmers Financial Solutions, Barred by FINRA

Have you lost money with financial advisor Marvin Tom White of Farmers Financial Solutions in Pegram, Tennessee?     We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Marvin Thomas White, Jr. FINRA barred “Tom” White from the securities industry after he failed to respond to a FINRA investigation.  FINRA ...

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