15

Mar

UPDATE! TYLER WOODWARD of MML Investors Barred by FINRA

UPDATE! Tyler Woodward and MML Investors

Have you invested with financial advisor Tyler Woodward of MML Investors Services in Colorado Springs, Colorado? We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Tyler James Woodward. In March 2019, FINRA barred Woodward from the securities industry after he failed to respond to a FINRA […]

8

Mar

PARKLAND SECURITIES Settles with FINRA Over Sales of ETFs

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INVESTOR ALERT! Parkland Securities and ETFs

Have you lost money investing in ETFs (Exchange Traded Funds) with Parkland Securities? We are looking into allegations made against Parkland Securities, LLC., an Ann Arbor, Michigan-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Parkland Securities, making allegations that it failed to supervise the sales of non-traditional […]

8

Mar

Sigma Financial Settles with FINRA Over Sales of Inverse and Leveraged ETFs

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INVESTOR ALERT! Sigma Financial and Exchange Traded Funds

Have you lost money investing in ETFs with Sigma Financial Corp.? We are currently investigating allegations made against Sigma Financial Corp., Inc., an Ann Arbor, Michigan-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Sigma Financial Corp., making allegations that it failed to supervise the sales of non-traditional […]

7

Mar

DONAVAN HUNTER of J.P. Morgan Barred by FINRA – Houston, TX

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INVESTOR ALERT! Donavan Hunter of J.P. Morgan Securities

Have you lost money with financial advisor Donovan Hunter of Houston, Texas? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Donovan S. Hunter. FINRA barred Hunter from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Hunter after he was fired by […]

6

Mar

LEGAL SCAM ALERT! Schmidt & Associates Phone numbers (562) 888-6490 and (866) 601-7396

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THIS BLOG IS BEING POSTED FOR INFORMATIONAL PURPOSES! If you have questions about a call you received, please call your attorney (which is not me). I get some strange calls these days – people pretending to be the IRS, the US Department of Justice, and even people that claim I can pay my […]

6

Mar

FINRA’s Decision to Bar JIM SEOL From Securities Industry is Upheld

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Decision Upheld! Jim Seol of Ameriprise Financial

FINRA’s Decision to Bar Jim Seol of Ameriprise Financial Services, from Securities Industry Is Upheld Have you lost money with financial advisor Jim Seol of Ameriprise Financial Services in Irvine, California? We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Jim J. Seol. FINRA previously barred Seol […]

5

Mar

UPDATE! WILLIAM GENNITY of Alexander Capital BARRED

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WILLIAM GENNITY of Alexander Capital, Barred from Securities Industry Have you lost money with financial advisor William Gennity, formerly with Alexander Capital in New York? We are continuing our investigation into allegations made by the SEC (Securities and Exchange Commission), against William (or Billy) C. Gennity and another former Alexander Capital representative, Rocco Roveccio. […]

27

Feb

Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts

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INVESTOR ALERT! James Jim Schwartz and Aegis Capital Corp.

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., […]

22

Feb

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

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ALERT! John Spach and Kestra Investment Services

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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INVESTOR ALERT! Bruce Worthington and Commonwealth Financial

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 […]

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15

UPDATE! TYLER WOODWARD of MML Investors Barred by FINRA

8

PARKLAND SECURITIES Settles with FINRA Over Sales of ETFs

8

Sigma Financial Settles with FINRA Over Sales of Inverse and Leveraged ETFs

7

DONAVAN HUNTER of J.P. Morgan Barred by FINRA – Houston, TX

6

LEGAL SCAM ALERT! Schmidt & Associates Phone numbers (562) 888-6490 and (866) 601-7396

6

FINRA’s Decision to Bar JIM SEOL From Securities Industry is Upheld

5

UPDATE! WILLIAM GENNITY of Alexander Capital BARRED

27

Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts

22

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

22

BRUCE WORTHINGTON of Commonwealth Financial Sued by Securities Division