04
DecUPDATE! International Assets Advisory to Pay Restitution
International Assets Advisory Settles with FINRA Over Sales of Inverse and Leveraged ETFs Have you lost money investing in ETFs with International Assets Advisory? We are currently investigating allegations made against International Assets Advisory, an Orlando, Florida-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against International Assets Advisory, ...
27
NovWARNING! Investigation of MICHAEL SEVERANCE of Voya – Edina, MN
Michael Severance, formerly with Voya Financial Advisors and National Planning Corp., Barred from Securities Industry Have you lost money with financial advisor Michael Severance of Edina, Minnesota? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael R. Severance. FINRA barred Severance from the securities industry after he failed to ...
26
NovWARNING! Investigation of ROBERT GENITO – Bonita Springs, FL
Robert Genito, formerly with PFS Investments, Barred from Securities Industry Have you lost money with financial advisor Robert Genito of Bonita Springs, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert F. Genito. FINRA barred Genito from the securities industry after he failed to respond to a FINRA ...
23
NovINVESTOR WARNING! Dennis Nakamura BARRED – Moraga, CA
Dennis Nakamura, formerly with McNally Financial Services, Barred from Securities Industry Have you lost money with financial advisor Dennis Nakamura of Moraga, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis M. Nakamura. FINRA barred Nakamura from the securities industry after he failed to respond to a FINRA ...
22
NovWARNING! Advisor MATTHEW WHITE Barred – Little Rock, AR
Matthew White, formerly with MML Investors Services, Barred from Securities Industry Have you lost money with financial advisor Matthew Leon White of Little Rock, Arkansas? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mr. White. FINRA barred him from the securities industry after he failed to respond to a ...
21
NovLosses With JOSEPH VIET DUY PHAN? We offer Contingent Fees
Joseph Viet Duy Phan, formerly with Pruco Securities, Barred from Securities Industry – Irvine, CA Have you lost money with financial advisor Joseph Viet Duy Phan from Irvine, California? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Agent Phan. FINRA barred him from the securities industry after he failed ...
21
NovGERALD EATON of Commonwealth Financial BARRED – Acton, MA
Gerald Eaton, formerly with Commonwealth Financial Network, Barred from Securities Industry Have you lost money with financial advisor Gerald Allan Eaton from Acton, Massachusetts? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Agent Eaton. FINRA barred him from the securities industry after he failed to respond to an ...
21
NovUPDATE! David Volpe of National Planning and Complaints
David Volpe, previously with National Planning Corp., Subject of Arizona Complaint Have you lost money with financial advisor David Volpe? We are continuing to investigate allegations made about David J. Volpe from Scottsdale, Arizona. Volpe was the subject of a complaint by the Arizona Corporation Commission regarding allegations that he sold unregistered investments in ...
20
NovFRAUD ALERT! Paul Mallory, Richard Cody and Jill Cody – Spring Lake, NJ
Paul Mallory Suspended for Failing to Supervise Richard Cody Have you lost money with financial advisor Richard Cody and Jill Cody of Spring Lake, New Jersey and formerly of Boston, Massachusetts? FINRA (the Financial Industry Regulatory Authority) suspended Paul M. Mallory from Livonia, Michigan for failing to adequately supervise Richard Cody. FINRA alleged that ...
20
NovFRAUD ALERT! LINDA JAY of Pruco Securities – East Brunswick, NJ
Linda Jay, formerly with Pruco Securities, Barred from Securities Industry Have you lost money with financial advisor Linda A. Jay from East Brunswick, New Jersey? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Linda A. Jay. FINRA barred Linda Jay from the securities industry after she failed to ...
