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WARNING! Investigation of CHRISTOPHER HERRMANN in Greenwood, IN

Tag Archives: annuities

22
Oct

WARNING! Investigation of CHRISTOPHER HERRMANN in Greenwood, IN

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WARNING!  Investigation of CHRISTOPHER HERRMANN in Greenwood, IN

Christopher Herrmann from Greenwood, Indiana, Suspended by FINRA for Nine Months   Have you lost money with financial advisor Christopher Herrmann from Greenwood, Indiana?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) made against Christopher Michael Herrmann. FINRA alleged that Christopher Herrmann made unsuitable recommendations to his customers to sell ...

18
Jun

WARNING! Impending Investigation – RICHARD WESSELT

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WARNING!  Impending Investigation – RICHARD WESSELT

 Israels & Neuman, PLC Investigates Richard Wesselt, formerly with Sterne Agee Financial Services and O.N. Equity Sales Company   Have you lost money with financial advisor Richard M. Wesselt, formerly with Sterne Agee Financial Services, from Collegeville, Pennsylvania?  We are investigating allegations of former customers related to Richard Wesselt. Richard Wesselt’s BrokerCheck report, a public ...

10
May

WARNING! Investigation of NORMAN SICARD of FINANCIAL SERVICES CORP.

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WARNING!  Investigation of NORMAN SICARD of FINANCIAL SERVICES CORP.

Norman Sicard, formerly with Broker Dealer Financial Services Corp., Barred from Securities Industry   Have you lost money with financial advisor Norman Sicard of Orlando, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Norman R. Sicard, Jr. FINRA barred Sicard from the securities industry after he failed to respond ...

09
Oct

WARNING! Investigation of WALTER MARINO

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WARNING! Investigation of WALTER MARINO

Walter Marino from Bohemia, New York, Suspended by FINRA for One Year   Have you lost money with financial advisor Walter Marino from Bohemia, New York?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority) made against Walter J. Marino. In an April 2017 complaint, FINRA alleged that Walter ...

07
Jun

Investor Warning! JAMES COX – Baton Rouge, LA

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Investor Warning!  JAMES COX – Baton Rouge, LA

James Cox from Baton Rouge, Louisiana Suspended by FINRAFor Variable Annuity Recommendations   Have you lost money with financial advisor James Cox from Baton Rouge, Louisiana?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against James Keith Cox.  FINRA alleged that during 2014, James Cox made unsuitable recommendations to ...

25
Apr

INVESTOR ALERT! Walter Marino – Bohemia, NY

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INVESTOR ALERT!  Walter Marino – Bohemia, NY

Walter Marino from Bohemia, New York Subject of FINRA Complaint For Variable Annuity Recommendations   Have you lost money with financial advisor Walter Marino from Bohemia, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Walter J. Marino. FINRA alleged that Walter Marino made unsuitable recommendations to ...

01
Dec

UPDATE! HANK WERNER and LEGEND SECURITIES

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INVESTOR WARNING!  Hank Werner and Legend Securities   Have you lost money with financial advisor Hank Werner of New York, New York?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Hank M. Werner and his former brokerage firm, Legend Securities. FINRA filed an amended complaint, alleging that ...

16
Nov

WARNING! Investigation of JOHN HUDNALL–San Francisco, CA

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WARNING!  Investigation of JOHN HUDNALL–San Francisco, CA

INVESTOR WARNING:  John Hudnall, REITs, and Annuities   Have you lost money with financial advisor John Hudnall of San Francisco, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John S. Hudnall. FINRA barred Hudnall from the securities industry regarding allegations that he purposely split up sales of REITs (real ...

02
Aug

WARNING! Impending Investigation: HANK WERNER and LEGEND SECURITIES

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WARNING!  Impending Investigation:  HANK WERNER and LEGEND SECURITIES

Hank Werner and Legend Securities   Have you lost money with financial advisor Hank Werner of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Hank M. Werner. FINRA alleged that Werner excessively traded or churned a blind, elderly widow’s account, while Werner was associated with two ...

16
Jul

UPDATE! JEFFREY B. PIERCE and MIDAMERICA FINANCIAL SERVICES

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Jeffrey B. Pierce and MidAmerica Financial Services   Have you lost money with financial advisor Jeffrey B. Pierce from Quincy, Massachusetts?  We previously blogged about Jeffrey Pierce, a former financial advisor with MidAmerica Financial Services.  FINRA (the Financial Industry Regulatory Authority) recently barred Pierce from the securities industry after he failed to respond to a ...

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