10.0David P Neuman
(720) 599-3505

UPDATE! Thomas Charbonneau – Feltl & Company

Tag Archives: Feltl & Company

01
Mar

UPDATE! Thomas Charbonneau – Feltl & Company

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UPDATE!  Thomas Charbonneau – Feltl & Company

Thomas Charbonneau of Feltl & Company   Have you lost money with financial advisor Thomas Charbonneau from Lilydale, Minnesota?  Thomas Charbonneau was barred by FINRA (the Financial Industry Regulatory Authority) in 2014 in connection with a pump-and-dump scheme and for allowing a customer to sign blank forms.  In February 2017, FINRA also alleged that Feltl ...

16
May

WARNING! Impending Investigation: LANCE ZIESEMER and FELTL & COMPANY

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WARNING!  Impending Investigation:  LANCE ZIESEMER and FELTL & COMPANY

Lance Ziesemer and Feltl & Company   Have you lost money with financial advisor Lance Ziesemer of Wayzata, Minnesota?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lance J. Ziesemer. FINRA alleged that Ziesemer made unsuitable recommendations for investors to switch investments in unit investment trusts (UITs).  The switch caused ...

29
Dec

WARNING! Impending Investigation–FELTL & COMPANY and ETFs

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Feltl & Company and ETFs   We are currently investigating allegations made against Feltl & Company, a Minneapolis, Minnesota-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Feltl & Company, alleging that Feltl failed to establish and maintain an adequate supervisory system regarding leveraged and inverse ETFs.  Feltl & ...

15
Oct

WARNING! Impending Investigation–THOMAS CHARBONNEAU, FELTL & CO. and BERTHEL FISHER & CO.

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Thomas Charbonneau, Feltl & Company, and Berthel Fisher & Company Have you lost money with financial advisor Thomas Charbonneau from Lilydale, Minnesota?  Thomas Charbonneau was recently barred by FINRA (the Financial Industry Regulatory Authority) in connection with a pump-and-dump scheme and for allowing a customer to sign blank forms.  FINRA alleged that Charbonneau was recommending ...

10.0David P Neuman

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