TINTON FALLS, NEW JERSEY Have you lost money with financial advisor Jerry Rice, formerly with Raymond James Financial in Tinton Falls, New Jersey? We are looking into allegations made against Jerry Rice. Rice was suspended from the securities industry by FINRA for eight months. Rice was alleged to have accepted $477,000 in gifts from a…
Continue reading ›WEST CHESTER, OHIO Have you lost money with financial advisor Ronald S. Daley, formerly with W&S Brokerage Services in West Chester, Ohio? We are looking into allegations made against Ronald Daley. Daley was barred from the securities industry after he failed to respond to a FINRA investigation. Daley was being investigated after he allegedly misappropriated…
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OWASSO, OKLAHOMA Have you lost money with financial advisor Jason Paul Ward, formerly with International Assets Advisory in Owasso, Oklahoma? We are looking into allegations made against Jason Ward. Ward has been the subject of a recent customer complaint. The recent complaint alleges unsuitable investments in private placements and limited partnerships. The complaint alleges $100,000…
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SHORT HILLS, NEW JERSEY Have you lost money with Michael Ackerman, and financial advisor James A. Seijas (CRD# 2392901) formerly of Wells Fargo Advisors in Short Hills, New Jersey? We are continuing to look into allegations of former customers related to James Seijas. Seijas’ former business partner, Michael Ackerman, pleaded guilty to fraud related to…
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WOBURN, MASSACHUSETTS Have you lost money with financial advisor Robert Nyilas, formerly with Advisory Group Equity Services in Woburn, Massachusetts? We are looking into allegations made against Robert Nyilas. Nyilas was barred from the securities industry after he failed to respond to a FINRA investigation. Nyilas was being investigated after he allegedly sold unsuitable investments…
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FLOWER MOUND, TEXAS Have you lost money with financial advisor Steven Vander Velde, with Cambridge Investment Research in Flower Mound, Texas? We are looking into allegations made against Steven Vander Velde. Vander Velde has been the subject of a recent customer complaint. The recent complaint alleges unsuitable investments in real estate. The complaint alleges $300,000…
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SAN FRANCISCO, CALIFORNIA Have you lost money with financial advisor Paul Furusho, formerly with APW Capital in San Francisco, California? We are looking into allegations made against Paul Furusho. Furusho was barred from the securities industry after he failed to respond to a FINRA investigation. Furusho was being investigated after he allegedly arranged a private…
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LONGMONT, COLORADO Have you lost money with financial advisor Monica Baldwin, with Raymond James Financial in Longmont, Colorado? We are looking into allegations made against Monica Baldwin. Baldwin and her brokerage firm, Raymond James Financial, were the subject of a FINRA arbitration claim, where a customer alleged Baldwin overconcentrated their accounts in energy investments, including…
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TOLEDO, OHIO Have you lost money with financial advisor James Earl Simpson, formerly with Equitable Advisors in Toledo, Ohio? We are looking into allegations made against James Simpson. Simpson was “permitted to resign” by Equitable Advisors in August 2021. It was alleged that Simpson misappropriated client funds and allegedly sold an unsuitable annuity. James Simpson…
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BEE CAVE, TEXAS Have you lost money with financial advisor Duane Cooper, with Wells Fargo in Bee Cave, Texas? We are looking into allegations made against Duane Cooper. Cooper has been the subject of three customer complaints, one which was filed within the last year. The recent complaint alleges unsuitable investments in private placements and…
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