15

Nov

Investigation of FREDRICK RANDHAHN of Sigma – Ogden, UT

WARNING! Fredrick Randhahn of Sigma Financial in Ogden, UT

Fredrick Randhahn, formerly with Sigma Financial Corp., Suspended from Securities Industry Have you lost money with financial advisor Fredrick Randhahn from Ogden, Utah? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Fredrick or Fred Martin Randhahn. FINRA suspended Randhahn from the securities industry for nine months, fined him […]

14

Nov

WARNING: Lance Armstrong of Raymond James BARRED

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INVESTOR ALERT! Lance Armstrong of Raymond James in Columbia, NJ

Lance Armstrong, formerly with Raymond James Financial Services, Barred from Securities Industry Have you lost money with financial advisor Lance Roman Armstrong from Columbia, New Jersey? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Lance Armstrong. FINRA barred him from the securities industry after he failed to respond […]

13

Nov

Complaints Against JOHN HOAGLAND of Morgan Stanley – Troy, MI

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INVESTOR ALERT! John Hoagland of Morgan Stanley in Troy, Michigan

John G. Hoagland, previously with Morgan Stanley, Suspended by FINRA Have you lost money with financial advisor John Hoagland? We are investigating allegations made about John Gunther Hoagland from Troy, Michigan. FINRA (the Financial Industry Regulatory Authority) suspended Hoagland from the securities industry for three months and fined him $5,000. FINRA was investigating Hoagland […]

13

Nov

BRIAN LOCKETT of Geneos Wealth SUSPENDED – Lynnwood, WA

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WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA

Brian Lockett, formerly with Geneos Wealth Management and Independent Financial Services, Suspended 45 Days Have you lost money with financial advisor Brian Lockett of Lynnwood, Washington? We are investigating allegations made against Brian J. Lockett. FINRA (the Financial Industry Regulatory Authority) suspended Lockett for 45 days and fined him $5,000 regarding allegations that he […]

13

Nov

Investigation of CLINT KEENER of Captial City Securities – Powell, OH

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INVESTOR ALERT! Clint Keener of Capital City Securities in Powell, Ohio

Clint Keener, formerly with Capital City Securities, Barred from Securities Industry Have you lost money with financial advisor Clint Harley Keener from Powell, Ohio? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mr. Keener. FINRA barred him from the securities industry after he failed to respond to an […]

12

Nov

Philip Sparacino of First Standard Financial BARRED – Red Bank, NJ

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INVESTOR ALERT! Philip Sparacino of First Standard Financial Company in Red Bank, NJ

Philip Sparacino, formerly with First Standard Financial Company, Barred from Securities Industry Have you lost money with financial advisor Philip Joseph Sparacino from Red Bank, New Jersey? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mr. Sparacino. FINRA barred him from the securities industry after he failed to respond […]

12

Nov

WARNING! Investigation of JUN ZHOU of Leaders Group – Chicago, IL

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INVESTIGATION of Jun Zhou or Justine Zhou of Leaders Group in Chicago, IL

Jun Zhou (also known as “Justine” Zhou), formerly with Leaders Group, Barred from Securities Industry Have you lost money with financial advisor Jun Zhou from Chicago, Illinois? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Jun “Justine” Zhou. FINRA barred Zhou from the securities industry. Zhou was being […]

11

Nov

Timothy Mills of NYLife SUSPENDED – Okemos, MI

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INVESTOR ALERT! Timothy Mills of NYLife in Okemos, MI

Timothy Mills, formerly with NYLife Securities, Suspended Three Months Have you lost money with financial advisor Timothy Mills from Okemos, Michigan? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Timothy Robert Mills. FINRA alleged that Timothy Mills made unsuitable recommendations to ten of his customers to switch from […]

11

Nov

Triad Advisors and Claims Over GPB Capital

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INVESTOR ALERT! Planmember Securities in Carpinteria, California

Triad Advisors Facing Claims Over GPB Capital Have you lost money investing in GPB Capital through Triad Advisors? Triad Advisors is a securities brokerage firm owned by Ladenburg Thalmann Financial Services. According to a recent filing with the SEC (Securities and Exchange Commission), Triad Advisors is facing six customer-initiated arbitration claims. The claims allege […]

10

Nov

Spartan Capital Securities Loses Motion to Vacate Arbitration Award

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Spartan Capital Securities, Nathan Gainer, South Dakota

Spartan Capital Securities Loses Motion to Vacate Arbitration Award In 2019, the U.S. District Court for the District of South Dakota confirmed an arbitration award in favor of investors who sued Spartan Capital Securities. A FINRA arbitration panel entered in award in favor of a couple who sued Spartan Capital, alleging unsuitable investment recommendations, […]

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15

Investigation of FREDRICK RANDHAHN of Sigma – Ogden, UT

14

WARNING: Lance Armstrong of Raymond James BARRED

13

Complaints Against JOHN HOAGLAND of Morgan Stanley – Troy, MI

13

BRIAN LOCKETT of Geneos Wealth SUSPENDED – Lynnwood, WA

13

Investigation of CLINT KEENER of Captial City Securities – Powell, OH

12

Philip Sparacino of First Standard Financial BARRED – Red Bank, NJ

12

WARNING! Investigation of JUN ZHOU of Leaders Group – Chicago, IL

11

Timothy Mills of NYLife SUSPENDED – Okemos, MI

11

Triad Advisors and Claims Over GPB Capital

10

Spartan Capital Securities Loses Motion to Vacate Arbitration Award