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INVESTIGATION: Justin Williams of Williams Wealth Management – Portland, OR

Tag Archives: inverse

08
Jul

INVESTIGATION: Justin Williams of Williams Wealth Management – Portland, OR

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INVESTIGATION: Justin Williams of Williams Wealth Management – Portland, OR

Justin Williams of Williams Wealth Management, Suspended Three Years from Securities Industry   Have you lost money with financial advisor Justin Williams of Portland, Oregon?  The law firm of Israels & Neuman is investigating allegations made by the Oregon Division of Financial Regulation against Justin David Williams. Oregon suspended Williams from the securities industry for ...

26
Mar

INVESTOR WARNING! RANDALL HAYES – Seattle, WA

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INVESTOR WARNING!  RANDALL HAYES – Seattle, WA

Randall Hayes, formerly with Morgan Stanley, Subject of Washington Securities Division Complaint   Have you lost money with financial advisor Randall Hayes of Seattle, Washington?  We are investigating allegations made by the Washington Securities Division.   Washington alleged that Hayes bought and sold inverse and leveraged ETFs (exchange traded funds) in his customers’ accounts without having ...

15
Oct

WARNING! Impending Investigation of ANDREW HARDIE

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WARNING!  Impending Investigation of ANDREW HARDIE

Andrew Hardie, formerly with Stifel Nicolaus, Subject of SEC Complaint   Have you lost money with financial advisor Andrew Hardie of Rogers, Arkansas?  We are investigating allegations made by the Arkansas Securities Department.   Arkansas alleged that Hardie bought and sold inverse and leveraged ETFs (exchange traded funds) in his customers’ accounts without having a reasonable ...

29
Sep

WARNING! Investigation of JAMES DRESSELAERS

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WARNING!  Investigation of JAMES DRESSELAERS

James Dresselaers and H. Beck Fined for ETF Trading   Have you lost money with financial advisor James Dresselaers of Bethesda, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James H. Dresselaers and his brokerage firm, H. Beck. FINRA suspended Dresselaers from the securities industry for two months, fined ...

03
Nov

FINRA FINES EIGHT FIRMS OVER $6 MILLION FOR ETF SALES

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FINRA FINES EIGHT FIRMS OVER $6 MILLION FOR ETF SALES

FINRA Fines Eight Firms over $6 Million for Sales of Multi-Share Class Variable Annuities and ETFs   FINRA (the Financial Industry Regulatory Authority) recently brought a regulator action against eight firms for the sales of multi-share class variable annuities.  FINRA brought claims against Voya Financial Advisors (formerly known as ING Financial Partners), Kestra Investment Services ...

01
Nov

UPDATE! ROBERT BATCHEN, WELLS FARGO ADVISORS, and UHLMANN PRICE SECURITIES

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UPDATE!  ROBERT BATCHEN, WELLS FARGO ADVISORS, and UHLMANN PRICE SECURITIES

WARNING!  Robert Batchen, Wells Fargo Advisors, and Uhlmann Price Securities   Have you lost money with financial advisor Robert Batchen of Wheeling, Illinois?  We are continuing our investigation into allegations made the Illinois Securities Department, against Robert J. Batchen.  The Illinois Securities Department revoked Batchen’s securities license after he failed to respond to an investigation.  ...

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