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UPDATE! STEVEN KNUTTILA of Perham, MN Has Been BARRED

Tag Archives: Minnesota investment fraud attorneys

20
Jun

UPDATE! STEVEN KNUTTILA of Perham, MN Has Been BARRED

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UPDATE!  STEVEN KNUTTILA of Perham, MN Has Been BARRED

Steven Knuttila, formerly of Capital Financial Services, Barred from Securities Industry by FINRA   Have you lost money with financial advisor Steven Knuttila of Perham, Minnesota?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Steven R. Knuttila.  Knuttila was barred from the securities industry by FINRA after ...

11
Jun

WARNING! Impending Investigation: STEVEN KNUTTILA – Perham, MN

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WARNING!  Impending Investigation:  STEVEN KNUTTILA – Perham, MN

Steven Knuttila, formerly of Capital Financial Services, Barred by Minnesota   Have you lost money with financial advisor Steven Knuttila of Perham, Minnesota?  We are investigating allegations made by the Minnesota Commission of Commerce, against Steven R. Knuttila. Minnesota alleged that Knuttila made unsuitable investment recommendations to his customers, barred him from the securities industry, ...

29
Dec

This Law Firm Can Help Recover Potential Losses Due to JOHN JAMES

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This Law Firm Can Help Recover Potential Losses Due to JOHN JAMES

John James, formerly with Merrill Lynch, Barred from the Securities Industry   Have you lost money with financial advisor John James of Wayzata, Minnesota?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John M. James. FINRA barred James from the securities industry after he failed to respond to a FINRA ...

11
Dec

UPDATE! Michael Dolan FINED and SUSPENDED

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UPDATE!  Michael Dolan FINED and SUSPENDED

Michael Dolan of Minneapolis, Minnesota, Suspended 60 Days and Fined $5,000   Have you lost money with financial advisor Michael Dolan of Minneapolis, Minnesota?  We are continuing our investigation into allegations made by the FINRA (the Financial Industry Regulatory Authority) against Michael T. Dolan, who is registered through brokerage firm Dougherty & Company LLC.  FINRA ...

26
Apr

UPDATE! Jeffrey Hill of Dougherty & Co. Suspended by Minnesota

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UPDATE!  Jeffrey Hill of Dougherty & Co. Suspended by Minnesota

Jeffrey Hill, formerly of Dougherty & Company, LLC, Suspended by Minnesota for One Year   Have you lost money with financial advisor Jeffrey Hill of Bemidji, Minnesota?  We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority), as well as the Minnesota Commission of Commerce, against Jeffrey A. Hill and his former ...

14
Apr

UPDATE! Nicholas Shermeta – Minneapolis, MN

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UPDATE!  Nicholas Shermeta – Minneapolis, MN

Nicholas Shermeta of Minneapolis, Minnesota Indicted Regarding Dakota Plains Holdings   Have you lost money with financial advisor Nicholas Shermeta of Minneapolis, Minnesota?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Nicholas H. Shermeta, a registered representative of Northland Securities.  The SEC recently settled with Shermeta regarding allegations that he ...

15
Dec

WARNING! Impending Investigation: MICHAEL DOLAN–Minneapolis, MN

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WARNING!  Impending Investigation:  MICHAEL DOLAN–Minneapolis, MN

INVESTOR WARNING!  Michael Dolan of Minneapolis, Minnesota   Have you lost money with financial advisor Michael Dolan of Minneapolis, Minnesota?  We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Michael T. Dolan, who is registered through brokerage firm Dougherty & Company LLC.  FINRA alleged that Michael Dolan solicited several investors ...

02
Dec

UPDATE! Howard Richards, James Goodland, and Gatekeeper USA, Inc.

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UPDATE!  Howard Richards, James Goodland, and Gatekeeper USA, Inc.

INVESTOR WARNING!  Howard Richards, James Goodland, and Gatekeeper USA, Inc.   Have you lost money with financial advisor Howard Richards from Mound and Plymouth, Minnesota?  We are continuing our investigation into allegations made by the Securities and Exchange Commission against Howard Richards, who previously worked as a financial advisor with Securus Wealth Management and Cambridge ...

28
Nov

WARNING! Investigation of JEFFREY HILL and DOUGHERTY & COMPANY–Bemidji, Minnesota

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WARNING!  Investigation of JEFFREY HILL and DOUGHERTY & COMPANY–Bemidji, Minnesota

INVESTOR WARNING!  Jeffrey Hill of Bemidji, Minnesota and Dougherty & Company, LLC   Have you lost money with financial advisor Jeffrey Hill of Bemidji, Minnesota?  We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Jeffrey A. Hill and his former brokerage firm, Dougherty & Company LLC.  FINRA alleged that Jeffrey ...

02
Nov

INVESTOR WARNING! Nicholas Shermeta of Minneapolis, Minnesota

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INVESTOR WARNING!  Nicholas Shermeta of Minneapolis, Minnesota

WARNING!  Nicholas Shermeta of Minneapolis, Minnesota Sued by SEC Regarding Dakota Plains Holdings   Have you lost money with financial advisor Nicholas Shermeta of Minneapolis, Minnesota?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Nicholas H. Shermeta, a registered representative of Northland Securities.  The SEC recently settled with Shermeta regarding ...

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