Tag: MLP

25
Jan

INVESTIGATION of WILLIAM HEIDEN and Unauthorized Transactions

INVESTIGATION of Robert High of First Financial Equity in Scottsdale, AZ
William Heiden, formerly with Wedbush Securities and Morgan Stanley, Subject of FINRA Complaint   Have you lost money with financial advisor William Heiden of Newport Beach, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William Mark Heiden. FINRA was investigating William Heiden after he was alleged to have engaged …
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20
Sep

WARNING! Investigation of DAMON WALKER – Solon, IA

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
Damon Walker from Solon, Iowa Subject of Iowa Insurance Commissioner Complaint   Have you lost money with financial advisor Damon Walker of Solon, Iowa?  We are investigating allegations made by Iowa Insurance Division against Damon Allan Walker. Iowa alleged that Walker made unsuitable investment recommendations when he recommended Oppenheimer Steelpath mutual funds to a customer. …
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10
Mar

ELDER FRAUD ALERT! Mark Kaplan and Vanderbilt Securities

WARNING! Jeffery Kelly
Mark Kaplan, formerly with Vanderbilt Securities, Barred from the Securities Industry   Have you lost money with financial advisor Mark Kaplan of Woodbury, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mark Kaplan. FINRA barred Kaplan from the securities industry regarding allegations that he engaged in excessive trading …
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12
Jun

INVESTOR ALERT! GERALDINE GORDON – Lexington, KY

Thomas Logue of American Independent Securities Group in Hinsdale, IL
Geraldine Gordon of Lexington, Kentucky Suspended by FINRA for Recommending “Speculative” Master Limited Partnership   Have you lost money with financial advisor Geraldine Gordon of Lexington, Kentucky?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Geraldine Gordon, an advisor at Ameriprise Financial Services.  FINRA alleged that Gordon recommended that her …
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