MIAMI, FLORIDA Have you lost money with financial advisor Lina Garcia of Miami, Florida? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Lina Maria Garcia. The SEC alleged that Garcia and her firm, UCB Financial Advisors, allocated profitable trades to themselves while allocating unprofitable trades to clients. Ramiro Sugranes…
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St. LOUIS, MISSOURI Have you lost money with financial advisor Dustin Ward, formerly with OneAmerica Securities and now with Woodbury Financial in St. Louis, Missouri? We are looking into allegations made against Dustin K. Ward. Ward has been the subject of two customer complaints, which were made within the last year. Both complaints allege losses…
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ALPINE, UTAH Have you lost money with financial advisor Richard Allen, with Woodbury Financial in Alpine, Utah? We are looking into allegations made against Richard Ray Allen. Allen has been the subject of two customer complaints, which were made within the last year. One of the complaints alleges that Allen recommended investments in private placements…
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LIVINGSTON, NJ Have you lost money with financial advisor Rodger Thomas, formerly with SCF Securities and now with Newbridge Securities Corp. in Livingston, New Jersey? We are looking into allegations made against Rodger Erik Thomas. Thomas has been the subject of two customer complaints, one of which was filed within the last year. The recent…
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WHITE PLAINS, NEW YORK Have you lost money with financial advisor Nicholas Jembelis, with David Lerner Associates in White Plains, New York? We are looking into allegations made against Nicholas T. Jembelis. Jembelis has been the subject of a customer complaint, which was made within the last year. The complaint alleges losses in Energy 11,…
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NEW YORK, NY Have you lost money with financial advisor Matthew Siliato, formerly with Wynston Hill Capital in New York, New York? We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority. Earlier in 2021, FINRA barred Matthew Siliato after he failed to respond to an investigation. FINRA was investigating…
Continue reading ›RESTON, VIRGINIA Have you lost money with financial advisor Frank Van Houten, formerly with Raymond James Financial and now with Citigroup in Reston, Virginia? We are looking into allegations made against Frank Van Houten. Van Houten has been the subject of a recent customer complaint. The complaint alleges an unsuitable investment in an offshore product…
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CLARKSBURG, WEST VIRGINIA Have you lost money with financial advisor Donna Hines, formerly with Cetera Advisors in Clarksburg, West Virginia? We are looking into allegations made against Donna Jean Hines. Hines was barred from the securities industry by FINRA after she failed to respond to an investigation. FINRA was investigating allegations that Hines facilitated a…
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Have you lost money investing in variable annuities through Aegis Capital? We are currently investigating allegations made against Aegis Capital, a New York, New York-based securities brokerage firm. FINRA brought a regulatory action against the firm, alleging that its Melville, New York and Wall Street offices failed to adequately supervise advisors who were excessively trading…
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FLINT, MICHIGAN Have you lost money with financial advisor Steven Muntin from Flint, Michigan? We are looking into allegations against Steven Muntin by the SEC. Muntin was civilly charged with defrauding an investor. Muntin used his company Executive Asset Management to charge a customer over $300,000 but never actually invested the money. Instead, the money…
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