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Investigation of FREDRICK RANDHAHN of Sigma – Ogden, UT

Category Archives: Investment Fraud

15
Nov

Investigation of FREDRICK RANDHAHN of Sigma – Ogden, UT

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Investigation of FREDRICK RANDHAHN of Sigma – Ogden, UT

Fredrick Randhahn, formerly with Sigma Financial Corp., Suspended from Securities Industry   Have you lost money with financial advisor Fredrick Randhahn from Ogden, Utah?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Fredrick or Fred Martin Randhahn. FINRA suspended Randhahn from the securities industry for nine months, fined him ...

14
Nov

WARNING: Lance Armstrong of Raymond James BARRED

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WARNING:  Lance Armstrong of Raymond James BARRED

Lance Armstrong, formerly with Raymond James Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Lance Roman Armstrong from Columbia, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Lance  Armstrong. FINRA barred him from the securities industry after he failed to respond ...

13
Nov

Complaints Against JOHN HOAGLAND of Morgan Stanley – Troy, MI

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Complaints Against JOHN HOAGLAND of Morgan Stanley – Troy, MI

John G. Hoagland, previously with Morgan Stanley, Suspended by FINRA   Have you lost money with financial advisor John Hoagland?  We are investigating allegations made about John Gunther Hoagland from Troy, Michigan.  FINRA (the Financial Industry Regulatory Authority) suspended Hoagland from the securities industry for three months and fined him $5,000.   FINRA was investigating Hoagland ...

13
Nov

BRIAN LOCKETT of Geneos Wealth SUSPENDED – Lynnwood, WA

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BRIAN LOCKETT of Geneos Wealth SUSPENDED – Lynnwood, WA

Brian Lockett, formerly with Geneos Wealth Management and Independent Financial Services, Suspended 45 Days   Have you lost money with financial advisor Brian Lockett of Lynnwood, Washington?  We are investigating allegations made against Brian J. Lockett. FINRA (the Financial Industry Regulatory Authority) suspended Lockett for 45 days and fined him $5,000 regarding allegations that he ...

13
Nov

Investigation of CLINT KEENER of Captial City Securities – Powell, OH

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Investigation of CLINT KEENER of Captial City Securities – Powell, OH

Clint Keener, formerly with Capital City Securities, Barred from Securities Industry   Have you lost money with financial advisor Clint Harley Keener from Powell, Ohio?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mr. Keener. FINRA barred him from the securities industry after he failed to respond to an ...

12
Nov

Philip Sparacino of First Standard Financial BARRED – Red Bank, NJ

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Philip Sparacino of First Standard Financial BARRED – Red Bank, NJ

Philip Sparacino, formerly with First Standard Financial Company, Barred from Securities Industry   Have you lost money with financial advisor Philip Joseph Sparacino from Red Bank, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mr. Sparacino. FINRA barred him from the securities industry after he failed to respond ...

12
Nov

WARNING! Investigation of JUN ZHOU of Leaders Group – Chicago, IL

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WARNING!  Investigation of JUN ZHOU of Leaders Group – Chicago, IL

Jun Zhou (also known as “Justine” Zhou), formerly with Leaders Group, Barred from Securities Industry   Have you lost money with financial advisor Jun Zhou from Chicago, Illinois?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Jun “Justine” Zhou. FINRA barred Zhou from the securities industry.  Zhou was being ...

11
Nov

Timothy Mills of NYLife SUSPENDED – Okemos, MI

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Timothy Mills of NYLife SUSPENDED – Okemos, MI

Timothy Mills, formerly with NYLife Securities, Suspended Three Months   Have you lost money with financial advisor Timothy Mills from Okemos, Michigan?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Timothy Robert Mills.  FINRA alleged that Timothy Mills made unsuitable recommendations to ten of his customers to switch from ...

11
Nov

Triad Advisors and Claims Over GPB Capital

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Triad Advisors and Claims Over GPB Capital

Triad Advisors Facing Claims Over GPB Capital   Have you lost money investing in GPB Capital through Triad Advisors?  Triad Advisors is a securities brokerage firm owned by Ladenburg Thalmann Financial Services.  According to a recent filing with the SEC (Securities and Exchange Commission), Triad Advisors is facing six customer-initiated arbitration claims.  The claims allege ...

10
Nov

Spartan Capital Securities Loses Motion to Vacate Arbitration Award

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Spartan Capital Securities Loses Motion to Vacate Arbitration Award

Spartan Capital Securities Loses Motion to Vacate Arbitration Award   In 2019, the U.S. District Court for the District of South Dakota confirmed an arbitration award in favor of investors who sued Spartan Capital Securities.  A FINRA arbitration panel entered in award in favor of a couple who sued Spartan Capital, alleging unsuitable investment recommendations, ...

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