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William Horbatuk Jr. and PHX Financial, Inc.   Have you lost money with financial advisor William Horbatuk Jr. from New York?  We are currently investigating allegations made by the Montana Commissioner of Securities and Insurance (CSI) made against William Horbatuk and PHX Financial Inc., the brokerage firm that Horbatuk worked for.  The Montana CSI brought …
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Joseph Pappalardo and Financial Network Investment Corp. Have you lost money with financial advisor Joseph T. Pappalardo of Roseville, California?  Joseph Pappalardo was recently barred by FINRA (the Financial Industry Regulatory Authority) for fraud and theft of customer funds.  FINRA alleged that Pappalardo stole customer funds for personal use, from August 2008 to August 2012. …
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Randy L. Leslie, Edward Jones, and LPL Financial Have you lost money with financial advisor Randy L. Leslie from Golden, Colorado?  We are investigating allegations made against Mr. Leslie.  Randy Leslie was recently fined $7,000 by the Oregon Division of Finance and Corporate Securities.  Mr. Leslie was investigated by Oregon because he failed to disclose …
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Richard F. Kenny, Jr. and Lightspeed Trading LLC Have you lost money with financial advisor Richard F. Kenny, Jr.? We are investigating allegations made against Mr. Kenny. Richard Kenny Jr. was recently investigated by FINRA (the Financial Industry Regulatory Authority) for his involvement in private securities transactions while he was a registered representative of Lightspeed …
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Continuing Investigation Into GWG Renewable Secured Debentures Have you invested in GWG Renewable Secured Debentures?  We have previously posted a number of blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors who recommended that their clients invest in GWG debentures. FINRA recently brought at least its fifth disciplinary action …
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The Denver Post recently covered one of my trials for Tom Martino. The article can be found here: The Denver Post recently covered one of my trials for Tom Martino. The article can be found here:…
This is a recent article from the Denver post where my firm successfully defended a federal Rule 11. This is a recent article from the Denver post where my firm successfully defended a federal Rule 11…
James B. Markoski   Have you lost money with financial advisor James B. Markoski?  James Markoski is a financial advisor based in Chicago, Illinois.  The Illinois Securities Department filed a complaint against Markoski on September 29, 2014, alleging fraud in connection with churning his customers’ accounts.  The Illinois Securities Department alleged that Markoski has a …
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Michael E. Donnelly and Coastal Equities, Inc. Have you lost money with financial advisor Michael E. Donnelly?  We are investigating recent allegations made against Michael E. Donnelly by his former brokerage firm, Coastal Equities Inc.  Michael Donnelly was recently fired by Coastal Equities on September 2, 2014 after the firm alleged that Donnelly was misappropriating …
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Barkley Lundy Jr. and PFS Investments Have you lost money with financial advisor Barkley Lundy Jr. from Rapid City, South Dakota?  We are investigating recent allegations made against Barkley Lundy made by FINRA, the Financial Industry Regulatory Authority.  FINRA recently barred Lundy from the securities industry for receiving money from his brokerage firm customers and …
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