16

Apr

UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

UPDATE! James Schwartz of Aegis Capital Corp New York BARRED

Have you lost money with financial advisor James B. Schwartz in New York? We are continuing to look into allegations made about James Bradley Schwartz from Melville, New York. FINRA (the Financial Industry Regulatory Authority) barred Schwartz from the securities industry. FINRA previously brought a complaint against Schwartz in February 2019. FINRA was […]

15

Apr

COREY MIREAU of Ameriprise is SUSPENDED

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Investigation: Corey Mireau, Ameriprise, Eden Prairie, MN

Have you lost money with financial advisor Corey Mireau of Eden Prairie, Minnesota? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Corey Lee Mireau. FINRA suspended Mireau from the securities industry for two years and fined him $15,000. FINRA was investigating Mireau regarding allegations that he borrowed money […]

13

Apr

INVESTOR ALERT! BENJAMIN BOURGEOIS of Metairie, LA ARRESTED

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FRAUD ALERT! Benjamin Bourgeois, Commonwealth Financial, Metairie, LA

Have you lost money investing with Benjamin Bourgeois of Metairie, Louisiana? We are looking into allegations made against Benjamin Bourgeois, formerly an advisor with Commonwealth Financial Network. Bourgeois was arrested and charged with theft, bank fraud, and exploitation of the inform, according to KALB. He was alleged to have stolen money from an elderly […]

12

Apr

UPDATE: Have You Lost Money With GARY FORREST in Flint, Michigan?

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INVESTIGATION: Gary Forrest, American Portfolios Financial, Forrest Financial, Flint Michigan

Have you lost money with financial advisor Gary Forrest of American Portfolios Financial in Flint, Michigan? The law firm of Israels & Neuman is looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Gary Forrest. FINRA suspended Forrest from the securities industry for 10 months and fined him $5,000. FINRA was […]

11

Apr

Advisor, THOMAS LAWS of Silver City, NM is now BARRED

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INVESTOR ALERT! Thomas Laws of HD Vest in Silver City, NM

Have you lost money with financial advisor Thomas Laws of Silver City, New Mexico? We are continuing to look into allegations made against Thomas Laws. FINRA (the Financial Industry Regulatory Authority) began an investigation in Thomas Laws regarding allegations that he engaged in outside business activities or private securities transactions without notifying his brokerage […]

10

Apr

MICHAEL LESSARD of Southeast Investments BARRED

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INVESTIGATION! Michael Lessard, Southeast Investments, North and South Carolina

Have you lost money with financial advisor Michael Lessard of Southeast Investments in Charlotte, North Carolina? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Michael Lessard FINRA barred Lessard from the securities industry regarding allegations that he borrowed money from two customers, which generally is not allowed in […]

9

Apr

Financial Advisor JAMES BYLENGA of Michigan BARRED

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INVESTOR ALERT! James Bylenga and LPL Financial, Michigan

Have you lost money with financial advisor James Bylenga of Portage, Michigan? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against James C. Bylenga. FINRA barred Bylenga from the securities industry after he failed to respond to an investigation. FINRA was investigating Bylenga regarding allegations that he borrowed money […]

8

Apr

SCOTT KLOR of LPL Financial Suspended and Fined

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Have you lost money with financial advisor Scott Klor of LPL Financial in life settlements (viaticals)? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Scott Klor. FINRA alleged that Klor solicited investors to invest in a life settlement or viatical while registered at his brokerage firm, LPL Financial. […]

4

Apr

GEORGE MERHOFF of Cetera Advisors FIRED with 24 Complaints

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WARNING! George Merhoff, Cetera Advisors in Klamath Falls, OR

Have you invested with George Merhoff of Cetera Advisors in Oregon? George Merhoff was fired by Cetera Advisors in April 2019. Merhoff, who worked in the Klamath Falls, Oregon office, was terminated regarding allegations that he made undisclosed payments to a customer. This is no surprise, since Merhoff has been the subject of […]

2

Apr

BRADLEY LATTING of State Farm VP Management BARRED

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Have you lost money with financial advisor Bradley Latting of Lawton, Oklahoma? We are continuing our investigation into allegations by the Financial Industry Regulatory Authority (FINRA) against Bradley Allen Latting. Latting was barred from the securities industry by FINRA for failing to respond to an investigation. FINRA was investigating Latting for allegedly converting or […]

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SEARCH OUR BLOGS

16

UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

15

COREY MIREAU of Ameriprise is SUSPENDED

13

INVESTOR ALERT! BENJAMIN BOURGEOIS of Metairie, LA ARRESTED

12

UPDATE: Have You Lost Money With GARY FORREST in Flint, Michigan?

11

Advisor, THOMAS LAWS of Silver City, NM is now BARRED

10

MICHAEL LESSARD of Southeast Investments BARRED

9

Financial Advisor JAMES BYLENGA of Michigan BARRED

8

SCOTT KLOR of LPL Financial Suspended and Fined

4

GEORGE MERHOFF of Cetera Advisors FIRED with 24 Complaints

2

BRADLEY LATTING of State Farm VP Management BARRED