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7
May

UNIONBANC INVESTMENT SERVICES Fined For Loss of Living Benefits

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Losses of living benefits through annuities at UnionBanc Investment Services Securities in Glendale, CA

GLENDALE, CALIFORNIA Have you lost money investing in variable annuities through UnionBanc Investment Services Securities?  We are currently investigating allegations made against UnionBanc Investment Services Securities, a Glendale, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the brokerage firm, making allegations that it failed to supervise certain variable […]

2
May

ONESCO to Pay $1.2 Million Back to Customers of RICHARD WESSELT

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Restitution to Richard Wesselt customers of ONESCO and Sterne Agee in Collegeville, PAin

COLLEGEVILLE, PA Have you lost money with financial advisor Richard Wesselt, formerly with O.N. Equity Sales Company, from Collegeville, Pennsylvania?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority).  FINRA alleged that O.N. Equity Sales Company (or ONESCO) failed to reasonably supervise Wesselt’s conduct with respect to surrenders of […]

28
Apr

Warning: DAVID MARTIROSIAN of Joseph Stone Capital is BARRED

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Losses with David Martirosian of Joseph Stone Capital in Mineola, NY

MINEOLA, NY Have you lost money with financial advisor David Martirosian of Mineola, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David Martirosian.  FINRA barred Martirosian after he failed to respond to an investigation.  Martirosian was being investigated for allegations that he engaged in unsuitable and excessive trading […]

26
Apr

FREDERICK ROCK of Pruco Securities Is SUSPENDED

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Losses with Frederick Rock of Pruco Securities in Tampa, FL

TAMPA, FLORIDA Have you lost money with financial advisor Frederick J. Rock from Tampa, Florida?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Frederick Rock.  Rock was being investigated regarding allegations that he sold investments in a start-up waste-to-energy technology company without permission from his former brokerage firm, Pruco […]

23
Apr

Warning: JOHN LEE SCOTT of LPL Financial Is Now BARRED

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Losses with John Lee Scott of LPL Financial in Phoenix, AZ

PHOENIX, ARIZONA Have you lost money with financial advisor John Lee Scott of Phoenix, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred John Lee Scott after he failed to respond to an investigation.  FINRA was investigating Scott regarding his alleged involvement in private securities transactions and outside business […]

23
Apr

Warning: Financial Advisor MATTHEW SILIATO is BARRED

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Losses with Matthew Siliato of Spartan Capital and Wynston Hill Capital in New York, NY

NEW YORK, NY Have you lost money with financial advisor Matthew Siliato of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Matthew Siliato after he failed to respond to an investigation.  FINRA was investigating Siliato regarding allegations that he excessively traded (or churned) customer accounts […]

20
Apr

Warning: GILBERT COX of Citizens Securities Is Now BARRED

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Losses with Gilbert Cox of Citizens Securities in Concord, NH

CONCORD, NEW HAMPSHIRE Have you lost money with financial advisor Gilbert Cox of Concord, New Hampshire?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Gilbert Cox after he failed to respond to an investigation.  FINRA was investigating Cox regarding his alleged involvement in outside business activities. Gilbert Cox was […]

19
Apr

COMPLAINTS Against ABDUL RAHMANI of Joseph Stone

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Losses with Abdul Rahmani of Joseph Stone Capital in Melville, NY

MELVILLE, NEW YORK Have you lost money with financial advisor Abdul Rahmani?  We are investigation allegations made about Abdul M. Rahmani from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) seeks to punish Rahmani.  FINRA alleges that Rahmani engaged in an outside business activity without disclosing such to his former brokerage firm, Joseph Stone […]

15
Apr

Warning: MICHAEL DELLAPORTA of Fusion Analytics Is Now BARRED

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Losses with Michael Dellaporta of Fusion Analytics in Coral Springs, FL

CORAL SPRINGS, FLORIDA Have you lost money with financial advisor Michael Dellaporta Jr. of Coral Springs, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Michael Dellaporta after he failed to respond to an investigation.  FINRA was investigating Dellaporta regarding his alleged involvement in outside business activities. Michael Dellaporta […]

13
Apr

EVAN SCHOTTENSTEIN of J.P. Morgan Is Now BARRED

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Losses with Evan Schottenstein of J.P. Morgan in New York, NY

NEW YORK, NY Have you lost money with financial advisor Evan A. Schottenstein of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Evan Schottenstein after he failed to respond to an investigation.  Schottenstein was being investigated regarding allegations related to trading in a family member’s […]

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