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Complaints Against NINA JESSEE of Cetera Advisors – Abingdon, VA

Tag Archives: Investors Capital Corp.

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 ...

26
Feb

INVESTIGATION of DIANE MADDOX Complaints

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INVESTIGATION of DIANE MADDOX Complaints

Have you lost money with financial advisor Diane Maddox of Investors Capital and Cetera Advisors?    We are investigating allegations made against Diane Maddox of Derry and Salem, New Hampshire, who was recently the subject of a complaint made by the New Hampshire Securities Bureau.  New Hampshire alleged that Maddox recommended that a couple purchase ...

17
Jan

FRAUD ALERT! Advisor MATTHEW PEREGOY of INVESTORS CAPITAL CORP. Barred

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FRAUD ALERT!  Advisor MATTHEW PEREGOY of INVESTORS CAPITAL CORP. Barred

Matthew Peregoy, formerly with Investors Capital Corp., Barred from the Securities Industry   Have you lost money with financial advisor Matthew Peregoy of Brick, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew E. Peregoy. FINRA barred Peregoy from the securities industry after he failed to respond to ...

03
Aug

WARNING! Impending Investigation: JAMES FLEMING

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WARNING!  Impending Investigation: JAMES FLEMING

James Fleming, formerly of Investors Capital Corp., Suspended from Securities Industry for Four Months   Have you lost money with financial advisor James Fleming of Worcester, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James S. Fleming, III. FINRA suspended Fleming from the securities industry for four months and ...

01
Mar

INVESTOR ALERT! Harold Pomeranz – Garden City, NY

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INVESTOR ALERT!  Harold Pomeranz – Garden City, NY

Harold Pomeranz from Garden City, New York Suspended For UIT Recommendations   Have you lost money with financial advisor Harold Pomeranz from Garden City, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Harold S. Pomeranz. FINRA alleged that Harold Pomeranz made unsuitable recommendations to his customers ...

02
Sep

UPDATE! Michael Inderlied, Timothy N. Payne, and Wilbanks Securities

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UPDATE!  Michael Inderlied, Timothy N. Payne, and Wilbanks Securities

UPDATE – Michael Inderlied, Timothy N. Payne, and Wilbanks Securities, Inc.   Have you lost money with financial advisors Michael Inderlied and Timothy N. Payne from Oklahoma City, Oklahoma?  We are continuing our investigation into allegations made by Missouri Securities Division against Inderlied and Payne for conduct while they were registered with Wilbanks Securities, Inc.  ...

19
Nov

WARNING! Impending Investigation: MICHAEL INDERLIED, TIMOTHY N. PAYNE, and WILLBANKS SECURITIES, INC.

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WARNING!  Impending Investigation:  MICHAEL INDERLIED, TIMOTHY N. PAYNE, and WILLBANKS SECURITIES, INC.

Investigation:  Michael Inderlied, Timothy N. Payne, and Wilbanks Securities, Inc.   Have you lost money with financial advisors Michael Inderlied and Timothy N. Payne from Oklahoma City, Oklahoma?  We are investigating allegations made by Missouri Securities Division against Inderlied and Payne for conduct while they were registered with Wilbanks Securities, Inc.   According to the ...

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 ...

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 ...

08
Jul

WARNING! Impending Investigation: 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?  Jeffrey Pierce is the subject of an investigation by the Massachusetts Securities Division.  The Massachusetts Securities Division brought an administrative complaint, making numerous allegations against Jeffrey Pierce, including that he made unauthorized withdrawals from ...

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