18

Mar

UPDATE: Halil Kozi of PHX Financial SUSPENDED – New York, NY

INVESTOR ALERT! Halil Kozi of PHX Financial in New York, NY

Halil Kozi, previously with PHX Financial, Suspended for Two Years Have you lost money with financial advisor Halil Kozi? We are continuing to look into allegations made about Halil Kozi from New York, New York. In 2019, FINRA (the Financial Industry Regulatory Authority) filed a complaint against Kozi, seeking to punish or fine him. In […]

17

Mar

INVESTOR ALERT! Quincy Caldwell of Planmember Securities SUSPENDED – Katy, TX

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Investigation of Mark Lamkin of LPL Financial in Louisville, KY

Quincy Caldwell, formerly with Planmember Securities Corp., Suspended Three Months Have you lost money with financial advisor Quincy Caldwell from Katy, Texas? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Quincy D. Caldwell. FINRA alleged that he made unsuitable recommendations to six of his customers to switch from Class […]

16

Mar

INVESTMENT LOSSES with NGL in MLPs & Oil and Gas Investments?

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INVESTOR ALERT! Investment losses with NGL Energy in MLPs and oil and gas investments

Master Limited Partnerships (MLPs) and Oil and Gas Investments The equity markets have faced a lot of turbulence in the last few weeks with the emergence of COVID-19, a coronavirus. The S&P 500 and Dow Jones indexes have plummeted. As an example, the S&P 500 dropped from about 3300 to 2400 from February 19, 2020 […]

16

Mar

INVESTIGATION of DAVID HALL / State Farm VP Mgmt. – Bakersfield, CA

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INVESTIGATION: David Hall of State Farm VP Mgmt. in Bakersfield, CA

David Hall, previously with State Farm VP Management Corp., Barred by FINRA Have you lost money with financial advisor David Hall? We are looking into allegations made about David Lance Hall from Bakersfield, California. FINRA (the Financial Industry Regulatory Authority) barred Hall from the securities industry after he failed to respond to an investigation. FINRA […]

10

Mar

UPDATE! Eric Pica of Joseph Stone Capital is BARRED – New York, NY

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INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY

Eric Pica, Previously with Joseph Stone Capital, Barred by FINRA Have you lost money with financial advisor Eric Pica? We are continuing to look into allegations made about Eric Pica from New York, New York. In 2019, FINRA (the Financial Industry Regulatory Authority) barred brought a complaint against Pica, and in March 2020, FINRA barred […]

9

Mar

ALERT! Imran Razvi SUSPENDED for Selling Woodbridge – Frederick, MD

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Imran Razvi, formerly with Lincoln Financial Securities Corp., Suspended from Securities Industry Have you lost money with financial advisor Imran Razvi from Frederick, Maryland? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Imran or Raz Razvi. FINRA suspended Razvi from the securities industry for six months and fined him […]

4

Mar

WARNING – Investigation of ANDRE DAVIS – Staten Island, NY

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INVESTOR ALERT! Andre Davis of First Standard Financial in Staten Island, NY

Andre Davis, previously with First Standard Financial Company, Barred by FINRA Have you lost money with financial advisor Andre Davis? We are looking into allegations made about Andre Pierre Davis from Staten Island, New York. FINRA (the Financial Industry Regulatory Authority) barred Andre Davis from the securities industry after he failed to respond to an […]

4

Mar

Investigation of LOUIS COOK and National Planning – Staten Island, NY

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Investor Alert! Louis Cook of National Planning in Staten Island, NY

Louis Cook, previously with National Planning Corp., Barred by FINRA Have you lost money with financial advisor Louis Cook? We are looking into allegations made about Louis Cook from Staten Island, New York. FINRA (the Financial Industry Regulatory Authority) barred Lou Cook from the securities industry. FINRA alleged that Cook misused $150,000 of customer funds […]

3

Mar

FRAUD ALERT: Gregory Dean and Donald Fowler – Rockville Centre, NY

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Investor Alert! Steven Rodemer of Stifel Nicolaus in Pueblo, CO

Gregory Dean and Donald Fowler, previously with Worden Capital Management, Found Liable for Fraud for Excessive Trading Accounts Have you lost money with financial advisor Gregory Dean and Donald Fowler? We are continuing to look into allegations made about Gregory Thomas Dean and Donald J. Fowler from Rockville Centre, New York. The Securities and Exchange […]

2

Mar

WARNING! Investigation of Advisor JODY THOMPSON – New York, NY

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Investigation of Jody Thompson of Alexander Capital in New York

Jody Thompson, formerly with Alexander Capital, Suspended from Securities Industry Have you lost money with financial advisor Jody Thompson of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jody E. Thompson. FINRA suspended Thompson from the securities industry for five months. FINRA was investigating Mr. Thompson […]

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18

UPDATE: Halil Kozi of PHX Financial SUSPENDED – New York, NY

17

INVESTOR ALERT! Quincy Caldwell of Planmember Securities SUSPENDED – Katy, TX

16

INVESTMENT LOSSES with NGL in MLPs & Oil and Gas Investments?

16

INVESTIGATION of DAVID HALL / State Farm VP Mgmt. – Bakersfield, CA

10

UPDATE! Eric Pica of Joseph Stone Capital is BARRED – New York, NY

9

ALERT! Imran Razvi SUSPENDED for Selling Woodbridge – Frederick, MD

4

WARNING – Investigation of ANDRE DAVIS – Staten Island, NY

4

Investigation of LOUIS COOK and National Planning – Staten Island, NY

3

FRAUD ALERT: Gregory Dean and Donald Fowler – Rockville Centre, NY

2

WARNING! Investigation of Advisor JODY THOMPSON – New York, NY