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INVESTIGATION: ERIC ROLSHOVEN of FSC Securities

Tag Archives: real estate

25
Feb

INVESTIGATION: ERIC ROLSHOVEN of FSC Securities

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INVESTIGATION:  ERIC ROLSHOVEN of FSC Securities

Have you lost money with financial advisor Eric Rolshoven of FSC Securities Corp.?    We are investigating allegations of former customers related to Eric Rolshoven (CRD # 1601679)  who has worked in Missoula, Montana; Florence, Montana; and Eagle, Idaho. Eric D. Rolshoven’s CRD report, a public record maintained by FINRA, states that Rolshoven has been ...

17
Feb

Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

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Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

Have you lost money with Thomas Edward Burns of Crown Capital Securities?    We are currently investigating allegations made against Thomas Edward Burns III, a Lake Forest, California-based securities broker.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Burns, alleging that he negligently made numerous errors in alternative investment forms (AIO Forms). ...

28
Jan

UPDATE! KYUSUN KIM or “Kenny Kim” of Independent Financial Group

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UPDATE!  KYUSUN KIM or “Kenny Kim” of Independent Financial Group

Kyusun Kim, formerly of Independent Financial Group, Subject of Arizona Corporation Commission Complaint   Have you lost money with financial advisor Kyusun Kim of San Diego, California?  We are continuing our investigation into allegations made by the Arizona Corporation Commission against Kyusun or “Kenny” Kim.  Kim was the subject of this complaint because he was ...

15
Dec

LUKE JOHNSON of Coastal Equities, Subject of 3 Complaints

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LUKE JOHNSON of Coastal Equities, Subject of 3 Complaints

Luke Johnson, with Coastal Equities, Subject of Three Customer Complaints   Have you lost money with financial advisor Luke Johnson of Scottsdale, Arizona?  We are investigating allegations made against Luke M. Johnson.  According to FINRA’s BrokerCheck, Johnson has been the subject of three customer complaints, alleging claims regarding non-traded REITs, or real estate investment trusts, ...

08
Aug

WARNING! Impending Investigation – ALEX HERRERA of Coral Gables, FL

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WARNING!  Impending Investigation – ALEX HERRERA of Coral Gables, FL

Alex Herrera, formerly with UBS Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Alex Herrera of Coral Gables, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alex G. Herrera. FINRA barred Herrera from the securities industry after he failed to respond to a ...

10
Jul

INVESTOR ALERT! M Holdings Securities of Portland, OR

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INVESTOR ALERT!  M Holdings Securities of Portland, OR

M Holdings Securities Fined $135,000 for Supervisory Failures   M Holdings Securities, a securities brokerage firm based out of Portland, Oregon, was recently fined $135,000 for supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that between December 2013 and June 2015, M Holdings Securities had supervisory missteps, including that it: a) failed to adequately ...

04
Jul

VICTIMS OF United Development Funding (UDF) May Be Able to Recover Losses

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VICTIMS OF United Development Funding (UDF) May Be Able to Recover Losses

United Development Funding III and IV Executives Ordered to Pay $8.2 Million   The Securities and Exchange Commission (SEC) recently filed a civil complaint against United Development Funding III, United Development Funding IV, and executives of the companies, including Hollis Greenlaw, Benjamin Wissink, Theodore Etter, Cara Obert, and David A. Hanson.  The SEC alleged that ...

27
Jun

WARNING! Investigation of KYUSUN KIM of San Diego, CA

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WARNING!  Investigation of  KYUSUN KIM of San Diego, CA

Kyusun Kim, formerly of Independent Financial Group, Barred from Securities Industry by FINRA   Have you lost money with financial advisor Kyusun Kim of San Diego, California?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Kyusun or “Kenny” Kim.  Kim was barred from the securities industry by ...

26
Jun

UPDATE! ROBERT HOFFMAN and WOODBURY Customers Awarded Over $1 Million

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UPDATE!  ROBERT HOFFMAN and WOODBURY Customers Awarded Over $1 Million

Woodbury Financial Services Ordered to Pay Over $1 Million Regarding Robert Hoffman Losses   Have you lost money with financial advisor Robert Hoffman of Greenwood, Indiana?  A couple in southern California recently brought an arbitration claim against Robert Hoffman and his former brokerage firm, Woodbury Financial, alleging that they violated their fiduciary duties and were ...

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 ...

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