INVESTIGATION! Michael Lessard, Southeast Investments, North and South Carolina
Don Traywick, formerly with Crown Capital Securities, Suspended Three Months   Have you lost money with financial advisor Don Traywick from Orange, California?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Don Traywick.  FINRA alleged that Don Traywick made unsuitable recommendations to his customers to switch from Class “A” …
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Investigation - Brian Engstrom of Oppenheimer in Tampa, FL
Caroline Korn, formerly with Brighton Securities Corp., Suspended Four Months   Have you lost money with financial advisor Caroline Korn from Rochester, New York?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority) made against Caroline Korn and her former brokerage firm, Brighton Securities Corp.  In December 2017, FINRA …
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INVESTOR ALERT! Mark Kregor and Hilliard Lyons
Caroline Korn and Brighton Securities Corp.   Have you lost money with financial advisor Caroline Korn from Rochester, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Korn’s former brokerage firm, Brighton Securities Corp. FINRA alleged that Brighton Securities Corp. failed to adequately supervise Caroline Korn, when …
Read More "Have You Lost Money with CAROLINE KORN of BRIGHTON SECURITIES CORP.?"