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Jonathan Greenfield and GWG Renewable Secured Debentures Have you invested in GWG Renewable Secured Debentures?  We have previously written numerous blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors and brokerage firms who recommended that their clients invest in GWG debentures, because FINRA believes that these investments are speculative, …
Read More "WARNING! Impending Investigation–JONATHAN GREENFIELD and GWG RENEWABLE SECURED DEBENTURES"
Feltl & Company and ETFs   We are currently investigating allegations made against Feltl & Company, a Minneapolis, Minnesota-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Feltl & Company, alleging that Feltl failed to establish and maintain an adequate supervisory system regarding leveraged and inverse ETFs.  Feltl & …
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Derek L. Weaver and Pruco Securities Have you lost money with financial advisor Derek L. Weaver from Birmingham, Alabama?    We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Derek Weaver.  FINRA recently barred Weaver from the securities industry because he failed to respond and cooperate with an investigation.  FINRA was …
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Walter Grenda, Timothy Dembski, and the Prestige Wealth Management Fund Have you lost money with financial advisors Walter Grenda, Timothy Dembski and Reliance Financial Advisors from the Buffalo, New York area?  We are currently investigating allegations made by the SEC (the Securities and Exchange Commission) against Grenda, Dembski, and their registered investment advisory firm, Reliance …
Read More "WARNING! Impending Investigation–WALTER GRENDA, TIMOTHY DEMBSKI, and PRESTIGE WEALTH MANAGEMENT FUND"
KGTA Petroleum, Jeffrey Gainer, Jerry Cicolani, Kelly Hood, and PrimeSolutions Securities Have you lost money in KGTA Petroleum?  We are currently investigating allegations made by the FBI, IRS, and the U.S. Attorney’s Cleveland office regarding Akron, Ohio-based KGTA Petroleum.  On December 8, 2014, criminal charges were brought against KGTA Petroleum co-owner and operator Kenneth A. …
Read More "UPDATE! Investigation of KGTA PETROLEUM and JEFFREY GAINER, JERRY CICOLANI, KELLY HOOD, and PRIM SOLUTIONS SECURITIES"
Levi Lindemann and J.P. Turner & Company Have you lost money with financial advisor Levi Lindemann from West Lakeland, Minnesota?  We are currently investigating allegations made by the SEC (Securities and Exchange Commissions) made against Levi Lindemann.  The SEC alleges that from September 2009 to August 2013, Lindemann raised at least $976,000 from at least …
Read More "WARNING! Impending Investigation–LEVI LINDEMANN and J.P. TURNER & COMPANY"
James Mark McLaughlin and Securities America, Inc. Have you lost money with financial advisor James Mark McLaughlin from Westover, Alabama?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against McLaughlin.  FINRA recently barred Mark McLaughlin from the securities industry for excessively trading or churning several customers’ accounts.  FINRA alleged …
Read More "WARNING! Impending Investigation–MAYOR OF WESTOVER, ALABAMA, JAMES MARK MCLAUGHLIN and SECURITIES AMERICA, INC."
INVESTOR ALERT! Dana Bruce Vietor of Cape Securities and CFD Investments in Texas and Iowa
Michael Evangelista and Allegations of Unsuitable Investments   Have you lost money in Michael Evangelista from Parsippany, New Jersey?  Michael Evangelista was recently barred by FINRA, the Financial Industry Regulatory Authority, for selling investments in a real estate company.  It was alleged that Evangelista did not have permission from his brokerage firm, Cambridge Investment Research, …
Read More "INVESTOR ALERT! MICHAEL EVANGELISTA of Parsippany, NJ"
Patrick Richard Harrison and CUSO Financial Services Have you lost money with financial advisor Patrick Richard Harrison from Portland, Oregon?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Harrison, who also worked in Tacoma, Washington.  FINRA recently barred Harrison from the securities industry for engaging in private securities …
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Raymond T. Clark and Dynasty Capital Partners Have you lost money with financial advisor Raymond T. Clark from Buffalo, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Clark.  FINRA recently barred Raymond Clark from the securities industry for failing to respond to an investigation.  Clark was …
Read More "WARNING! Impending Investigation–RAYMOND T. CLARK and DYNASTY CAPITAL PARTNERS"