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25
Feb

Warning: DARRELL SMITH of Wells Fargo is BARRED

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Losses with Darrell Smith of Wells Fargo in Memphis, TN

MEMPHIS, TN Have you lost money with financial advisor Darrell Smith of Memphis, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Smith after he failed to respond to an investigation.  FINRA was investigating Smith after he was terminated by his former brokerage firm, Wells Fargo.  Smith allegedly made […]

22
Feb

Warning: SCOTT REED of Wells Fargo Is BARRED

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Investment Losses with Scott Reed of Wells Fargo in Scottsdale, AZ

SCOTTSDALE, AZ Have you lost money with financial advisor Scott W. Reed of Scottsdale, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Reed after he was allowed to “voluntarily resign” by his former brokerage firm, Wells Fargo.  Reed allegedly raised $3.5 million in a software and web development […]

19
Feb

JAMES SCHUMAKER of Cambridge Investment is SUSPENDED

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Losses with James Schumaker of Cambridge Investment in Lafayette, IN

Lafayette, IN Have you lost money with financial advisor James Schumaker from Lafayette, Indiana?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against James Schumaker. FINRA suspended Schumaker from the securities industry for 9 months and fined him $5,000.  Schumaker was being investigated regarding allegations that he allowed his father, […]

18
Feb

Warning: BRADLEY GOODBRED of LPL Financial is BARRED

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Losses with Bradley Goodbred of LPL Financial in Roselle, IL

Roselle, IL Have you lost money with financial advisor Bradley Goodbred of Roselle, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Goodbred after he failed to respond to an investigation.  FINRA was investigating Goodbred after he was terminated by his former brokerage firm, LPL Financial.  Goodbred allegedly used […]

17
Feb

Infinity Q Diversified Alpha Investor Fund – FRAUD ALLEGATIONS

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Losses with Infinity Q Diversified Alpha Investor Fund (IQDAX) and Fraud allegations

IQDAX Halts Investor Redemptions Have you invested in Infinity Q Diversified Alpha Investor Fund?  In February 2020, Infinity Q Diversified Alpha Investor Fund halted redemptions in its mutual fund, due to alleged fraud of the portfolio manager.  The Fund, which trades under the symbol IQDAX, forbid its chief investment officer from trading after discovery issues […]

17
Feb

Warning: PAUL HALVORSON of Morgan Stanley BARRED

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Losses with PAUL HALVORSON of Morgan Stanley in Charleston, SC

CHARLESTON, SC Have you lost money with financial advisor Paul Halvorson of Charleston, South Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Halvorson after he failed to respond to an investigation.  FINRA was investigating Halvorson after he was terminated by his former brokerage firm, Morgan Stanley. Paul Halvorson […]

16
Feb

Warning: JENNY FENG of TransAmerica Financial SUSPENDED

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Losses with Jenny Feng of TransAmerica Financial in Columbia, MD

COLUMBIA, MD Have you lost money with financial advisor Jenny Xinfang Feng from Columbia, Maryland?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Jenny Feng. FINRA suspended Feng from the securities industry for 6 months and fined her $7,500.  Feng was being investigated regarding allegations she pretended to be […]

15
Feb

Investor Alert! MINISH HEDE of Paulson Investment SUED by SEC

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Losses with Minish Hede of Paulson Investment Co in New York, NY

NEW YORK, NY Have you lost money with financial advisor Minish Hede of New York, New York?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Minish Hede.  The SEC ordered Hede to disgorge $612,000, plus interest of $180,000, and a $65,000 penalty.  Hede was allegedly involved in soliciting investors to […]

11
Feb

Warning: VALERIE IDARRAGA CEBALLOS of Wells Fargo BARRED

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Losses with Valerie Idarraga Ceballos of Wells Fargo in Orlando, FL

ORLANDO, FL Have you lost money with financial advisor Valerie Idarraga Ceballos of Orlando, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Ceballos after she failed to respond to an investigation.  FINRA was investigating Ceballos after she was terminated by her former brokerage firm, Wells Fargo.  She was […]

10
Feb

TRIAD ADVISORS Fined and Ordered to Pay RESTITUTION to Customers

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Triad Advisors Fined and Ordered to pay Restitution to Customers

Norcross, GA We are currently investigating allegations made against Triad Advisors, a Norcross, Georgia-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the firm, making allegations that it failed to adequately supervise the exchange of Class A mutual fund shares and variable annuity exchanges.  Because of the front-end load […]

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