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7
Aug

WARNING! Impending Investigation: CHARLOTTE GUIN and JP MORGAN SECURITIES

Charlotte Guin and JP Morgan Securities Have you lost money with financial advisor Charlotte Guin of Houston, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Charlotte A. Guin. FINRA barred Guin from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Guin regarding …
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7
Aug

Losses in Cushing Mutual Funds?

Losses in Cushing Mutual Funds? Have you lost money investing in mutual funds issued by Cushing Funds or MainStay Cushing Funds?  The Cushing Funds have invested heavily in oil and gas exploration and production throughout the U.S. and Canada.  However, with the recent downturn in the price of oil, many of the Cushing Funds have …
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7
Aug

Canadian Investors Losing Money with American Financial Advisors

Canadian Investors Losing Money with American Financial Advisors Are you a Canadian investor who has suffered investment losses with an American financial advisor or stockbroker?  Many Canadian investors use the services of financial advisors or securities brokers who are licensed in the United States, often through FINRA (the Financial Industry Regulatory Authority), which is similar …
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4
Aug

WARNING! Impending Investigation: PATRICK L. GARRETT and ROBERT W. BAIRD & CO.

Patrick L. Garrett and Robert W. Baird & Co. Have you lost money with financial advisor Patrick Garrett of Nashville, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Patrick Garrett. FINRA barred Garrett from the securities industry regarding allegations that he verbally overstated the value of an account, which …
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4
Aug

WARNING! Impending Investigation: LOUIS A. TINOCO, JR. and BARCLAYS CAPITAL

Louis A. Tinoco, Jr. and Barclays Capital Have you lost money with financial advisor Louis Tinoco of Miami, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Louis A. Tinoco, Jr. FINRA barred Tinoco from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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3
Aug

UPDATE! Investigation of DAVID J. HACKNEY and LPL FINANCIAL

David J. Hackney and LPL Financial Have you lost money with financial advisor David J. Hackney from Chicago, Illinois?  We are currently investigating allegations made by the Illinois Securities Department against David Hackney.  The Illinois Securities Department alleged that Hackney excessively traded or churned several customers’ accounts.  In June 2015, Hackney’s securities licensed was revoked …
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31
Jul

WARNING! Impending Investigation: MALCOLM J. BABIN and PFS INVESTMENTS, INC.

Malcolm J. Babin and PFS Investments, Inc. Have you lost money with financial advisor Malcolm Babin of Baton Rouge, Louisiana?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Malcolm J. Babin. FINRA barred Babin from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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31
Jul

WARNING! Impending Investigation: MATTHEW J. LEVITT and EQUINOX SECURITIES, INC.

Matthew J. Levitt and Equinox Securities, Inc. Have you lost money with financial advisor Matthew Levitt of Redlands, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew J. Levitt. FINRA barred Levitt from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Levitt …
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30
Jul

WARNING! Impending Investigation: FRANK CHIAPPONE, ANDREW GUZZETTI, WILLIAM LEX, THOMAS E. LIVINGSTON, BRIAN T. MAYER and PHILIP RABINOVICH

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
Losses with Frank Chiappone, Andrew Guzzetti, William Lex, Thomas E. Livingston, Brian T. Mayer, and Philip Rabinovich   Have you lost money investing in the private placements sold by Frank Chiappone, Andrew Guzzetti, William Lex, Thomas E. Livingston, Brian T. Mayer, or Philip Rabinovich?  We are investing allegations made by the Securities and Exchange Commission …
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