Investor ALERT! Robert Spiegel of First Standard Financial in Staten Island, NY
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 …
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UPDATE! Michael Dolan 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 …
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WARNING! Jeffrey Hill
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 …
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UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
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 …
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INVESTOR ALERT! Mark Flanagan and Citigroup Global Markets
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 …
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WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
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 …
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INVESTOR ALERT! Frederick Holloway
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 …
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INVESTOR ALERT! Noel Carino and General Securities Corp
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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WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Steven Larson and Oakbridge Financial Services, Inc.   Have you lost money with financial advisor Steven Larson of Nisswa, Minnesota?  We are investigating allegations made by the Missouri Securities Division, against Steven E. Larson, Michael Standley, and Kathryn Winter. FINRA (the Financial Industry Regulatory Authority) also recently filed a regulatory complaint against Larson, who is …
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Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
John Heath and Independent Financial Group   Have you lost money with financial advisor John Heath of Bloomington, Minnesota?  We are investigating allegations made by Minnesota Department of Commerce, against John V. Heath. Minnesota is investigating Heath regarding allegations that he engaged in dishonest and deceptive activities related to client funds.  According to John Heath’s …
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