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28
Mar

FUTURE INCOME PAYMENTS (FIP) Ponzi Scheme: How to Recover Money

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FRAUD! Future Income Payments, FIP Investments

Have you lost money investing in Future Income Payments (FIP Investments)?   The U.S. Attorneys’ Office for the District of South Carolina filed a criminal indictment against the Future Income Payments (FIP Investments) and its founder, Scott Kohn.  The indictment alleges that over $300 million was raised for Future Income Payments, which were purported to be […]

27
Mar

INVESTOR ALERT! Sam Aziz of Wells Fargo and Coastal Equities BARRED

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INVESTOR ALERT! Sam Aziz, Coastal Equities and Wells Fargo

Have you lost money with financial advisor Sam Aziz of Dublin, Ohio?    We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Sam Aziz. FINRA barred Aziz from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Aziz based on allegations that he engaged […]

27
Mar

OSCAR FRANCIS of MML Investors GUILTY of Mahum, Inc. FRAUD

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featured image of blog titled OSCAR FRANCIS of MML Investors GUILTY of Mahum, Inc. FRAUD

Have you lost money with financial advisor Oscar Francis of MML Investors or Mahum, Inc. in Fort Lauderdale, Florida?    We are investigating allegations made by the Securities and Exchange Commission (SEC) against Oscar Francis.  The SEC alleged that Oscar Francis misappropriated funds, while affiliated with MML Investor Services, in a fraudulent investment called Mahum, […]

25
Mar

INVESTOR ALERT! EDWARD MATTHES of Wisconsin Barred

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INVESTOR ALERT! Regan Rohl and Wells Fargo

Have you lost money with financial advisor Edward Matthes of Mutual of Omaha Investor Services in Oconomowoc, Wisconsin?   We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Edward Earl Matthes. FINRA barred Matthes from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating […]

25
Mar

DENNIS HAYES Barred from Securities Industry – Charlotte, NC

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Investigation: Corey Mireau, Ameriprise, Eden Prairie, MN

Have You Lost Money With Dennis Hayes of Newbridge Securities and Salomon Whitney in Charlotte, NC?   We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis Allen Hayes. In January 2019, FINRA was investigating Dennis Hayes after he was alleged to have engaged in private securities transactions without […]

20
Mar

JUDITH JOHNSTON of NYLife Barred by FINRA

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INVESTOR ALERT! Judith Johnston and NYLife Securities

Have you lost money with financial advisor Judith Johnston of Frisco, Texas?    We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Judith A. Johnston. FINRA barred Judy Johnston, a former representative of NY Life Securities, from the securities industry after she failed to adequately respond to a FINRA investigation.  […]

19
Mar

Corinthian Partners Settles for Failure to Supervise VICTORIA VANDYKE

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INVESTOR ALERT! Victoria Vandyke and Corinthian Partners

Have you lost money investing with Corinthian Partners in ETFs and ETNs?   We are looking into allegations made against Corinthian Partners, LLC., a New York, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Corinthian Partners making allegations that it failed to supervise the sales of non-traditional […]

15
Mar

UPDATE! TYLER WOODWARD of MML Investors Barred by FINRA

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UPDATE! James Schwartz of Aegis Capital Corp New York BARRED

  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! Eric Rolshoven and FSC Securities

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 […]

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