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Complaints Against NINA JESSEE of Cetera Advisors – Abingdon, VA

Tag Archives: alternative

13
Jun

Complaints Against NINA JESSEE of Cetera Advisors – Abingdon, VA

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Complaints Against NINA JESSEE of Cetera Advisors – Abingdon, VA

Nina Jessee, formerly with Cetera Advisors and Investors Capital Corp., Barred from Securities Industry   Have you lost money with financial advisor Nina Jessee of Abingdon, Virginia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nina Sue Jessee. FINRA barred Jessee from the securities industry after she failed to respond ...

17
Feb

Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

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Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

Have you lost money with Thomas Edward Burns of Crown Capital Securities?    We are currently investigating allegations made against Thomas Edward Burns III, a Lake Forest, California-based securities broker.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Burns, alleging that he negligently made numerous errors in alternative investment forms (AIO Forms). ...

19
Apr

INVESTOR ALERT! Walter Parker of Titan Securities (U.S.)

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INVESTOR ALERT!  Walter Parker of Titan Securities (U.S.)

Walter Parker from Rowlett, Texas Suspended From Securities Industry   Have you lost money with financial advisor Walter Parker of Titan Securities in Rowlett, Texas?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Walter Warren Parker. FINRA suspended Walter Parker from the securities industry for one month and fined him ...

06
Mar

WARNING! Impending Investigation – CHOOSRI LAO and CETERA ADVISOR NETWORKS

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WARNING!  Impending Investigation – CHOOSRI LAO and CETERA ADVISOR NETWORKS

Choosri Lao from Tinley Park, Illinois Suspended and Fined by FINRA   Have you lost money with financial advisor Choosri Lao from Tinley Park, Illinois?  We are currently investigating allegations made against Choosri Lao, who previously worked with Cetera Advisor Networks.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Ms. Lao, alleging ...

10
Nov

WARNING! Impending Investigation of BRAD LAWING

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WARNING!  Impending Investigation of BRAD LAWING

Brad Lawing from Springfield, Missouri Suspended by FINRA   Have you lost money with financial advisor, Brad Lawing from Springfield, Missouri?  We are currently investigating allegations made against Brad C. Lawing, who previously worked with Cambridge Investment Research.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Lawing, alleging that he recommended ...

05
Apr

INVESTOR WARNING! John Oldham of NPB Financial Group

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INVESTOR WARNING!  John Oldham of NPB Financial Group

John Oldham from Wautoma, Wisconsin Suspended by FINRA   Have you lost money with financial advisor John Oldham from Wautoma, Wisconsin?  We are currently investigating allegations made against John C. Oldham, who previously worked with NPB Financial Group.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Oldham, alleging that he entered ...

13
Feb

INVESTOR ALERT! Adam Fritzsche – Canterbury, CT

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INVESTOR ALERT!  Adam Fritzsche – Canterbury, CT

Adam Fritzsche from Canterbury, Connecticut Suspended by FINRA   Have you lost money with financial advisor Adam Fritzsche from Canterbury, Connecticut?  We are currently investigating allegations made against Adam S. Fritzsche, who previously worked with LPL Financial.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Fritzsche, alleging that made unsuitable investment ...

07
Sep

INVESTOR WARNING! Jerry McCutchen and Alternative Investments

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INVESTOR WARNING!  Jerry McCutchen and Alternative Investments

Jerry McCutchen and Alternative Investments   Have you lost money with financial advisor Jerry McCutchen of Mobile, Alabama?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jerry D. McCutchen, Sr. FINRA barred McCutchen from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating McCutchen ...

26
Oct

WARNING! Impending Investigation: JOSEPH DAIGNEAULT and INVESTORS CAPITAL CORP.

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WARNING!  Impending Investigation:  JOSEPH DAIGNEAULT and INVESTORS CAPITAL CORP.

Joseph Daigneault and Investors Capital Corp. Have you lost money with financial advisor Joseph Daigneault of Biddeford, Maine?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joseph Daigneault. FINRA investigated Daigneault, alleging that he provided inaccurate information regarding the value of investor holdings on consolidated reports that he provided to ...

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