18

Feb

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

INVESTOR ALERT! John Maccoll and UBS Financial in Michigan

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 […]

7

Feb

Sean Kelly and Sales of GPB Capital

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Sean Kelly and GPB Capital Investigation

Sean Kelly and Sales of GPB Capital Have you lost money investing with Sean Kelly and GPB Capital? We are continuing our investigation into Sean Joseph Kelly from Marietta, Georgia, who was previously a registered representative of Capital Financial Services and Center Street Securities. Sean Kelly was recommending that his clients make investments in GPB […]

7

Feb

Michael Castillero, formerly with Alexander Capital, Barred by FINRA

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Michael Castillero and Alexander Capital

Michael Castillero, formerly with Alexander Capital, Barred by FINRA Have you lost money with financial advisor Michael Castillero of New York, New York? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael A. Castillero. FINRA barred Castillero from the securities industry after he failed to respond to a […]

7

Feb

Casey Walker, formerly with Farmers Financial Solutions, Barred by FINRA

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Casey Walker and Farmers Financial Solutions

Have you lost money with financial advisor Casey Walker of Lake Lotawana, Missouri? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Casey Wayne Walker. FINRA barred Walker from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Walker after he was terminated by […]

6

Feb

Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA

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Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA Have you lost money with financial advisor Bhenoy Dembla of Chicago, Illinois? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Bhenoy “Ben” Dembla. FINRA barred Dembla from the securities industry regarding allegations that he entered and later cancelled 41 […]

5

Feb

Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft

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Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft Have you lost money investing with Dean Grant from Milledgeville, Georgia? We are looking into allegations made against Dean Harrison Grant, formerly an advisor with M Holdings Securities. Grant was charged by the Baldwin County Sheriff with insurance fraud and theft, according […]

30

Jan

PETER ORLANDO of Warwick, Rhode Island BARRED!

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INVESTIGATION! Peter Orlando of MetLife Securities BARRED

Peter Orlando, formerly with MetLife Securities, Barred by FINRA Have you lost money with financial advisor Peter Orlando of Warwick, Rhode Island? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Peter Orlando. FINRA barred Orlando from the securities industry regarding allegations that he made an unsuitable recommendation to […]

28

Jan

UPDATE! KYUSUN KIM or “Kenny Kim” of Independent Financial Group

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UPDATE! Jay Weiser and DesPain Financial

Kyusun Kim, formerly of Independent Financial Group, Subject of Arizona Corporation Commission Complaint Have you lost money with financial advisor Kyusun Kim of San Diego, California? We are continuing our investigation into allegations made by the Arizona Corporation Commission against Kyusun or “Kenny” Kim. Kim was the subject of this complaint because he was […]

25

Jan

INVESTIGATION: KRISTIAN GAUDET of Ameritas – Cut Off, LA

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INVESTOR ALERT: Kristian Gaudet, Ameritas Investment Corp

Kristian Gaudet, formerly with Ameritas Investment Corp., Barred by FINRA Have you lost money with financial advisor Kristian Gaudet of Cut Off, Louisiana? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Kristian M. Gaudet. FINRA barred Gaudet from the securities industry after he failed to respond to a […]

25

Jan

INVESTIGATION of WILLIAM HEIDEN and Unauthorized Transactions

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INVESTIGATION William Heiden, Morgan Stanley and Wedbush Securities

William Heiden, formerly with Wedbush Securities and Morgan Stanley, Subject of FINRA Complaint Have you lost money with financial advisor William Heiden of Newport Beach, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William Mark Heiden. FINRA was investigating William Heiden after he was alleged to have engaged […]

Blog

18

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

7

Sean Kelly and Sales of GPB Capital

7

Michael Castillero, formerly with Alexander Capital, Barred by FINRA

7

Casey Walker, formerly with Farmers Financial Solutions, Barred by FINRA

6

Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA

5

Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft

30

PETER ORLANDO of Warwick, Rhode Island BARRED!

28

UPDATE! KYUSUN KIM or “Kenny Kim” of Independent Financial Group

25

INVESTIGATION: KRISTIAN GAUDET of Ameritas – Cut Off, LA

25

INVESTIGATION of WILLIAM HEIDEN and Unauthorized Transactions

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