SEARCH OUR BLOGS
15
Nov

ROYAL GREGORY FISHER of SagePoint Financial is SUSPENDED

Losses with Scott Taubman of Ameriprise Financial in Peoria, AZ
Former SagePoint Financial Advisor Royal Gregory Fisher Suspended by FINRA TRAVERSE CITY, MICHIGAN     As of November 2023, Royal Gregory Fisher has been suspended by FINRA.  He previously worked with SagePoint Financial and now works with McNally Financial Services.  He was suspended for two months and fined $5,000. FINRA alleged that Fisher circumvented compliance procedures with …
Read More "ROYAL GREGORY FISHER of SagePoint Financial is SUSPENDED"
10
Nov

KEVIN LAWRENCE KELLY of Avantax Subject of COMPLAINTS

Losses with Kevin Lawrence Kelly of Avantax in Atlanta, GA
Kevin Kelly, with Avantax Investment Services, Subject of Customer Complaints ATLANTA, GEORGIA     Have you invested with stockbroker Kevin Lawrence Kelly from Atlanta, Georgia?  We are looking into two complaints made by former customers who filed claims against his brokerage firm, Avantax Investment Services.  Since August 2023, Avantax Investment Services has faced two customer complaints, …
Read More "KEVIN LAWRENCE KELLY of Avantax Subject of COMPLAINTS"
10
Nov

MICHAEL YOUNG HAMILTON of Centaurus Under SEC Investigation

Losses with Lawrence Roger Rice of Centaurus Financial in Lauderdale by the Sea, FL
Centaurus Financial advisor Michael Hamilton Under SEC Investigation BOCA RATON, FLORIDA Are you a current or former customer of advisor Michael Hamilton also known as Michael Young Hamilton, with Centaurus Financial in Fort Myers, Florida?  He has been with Centaurus Financial since October 2015 and is under investigation by the Securities and Exchange Commission (SEC) …
Read More "MICHAEL YOUNG HAMILTON of Centaurus Under SEC Investigation"
6
Nov

DEBBIE CAVANAUGH of Centaurus Financial Subject of INVESTIGATION

Losses with Alton Raney of LPL Financial in Little Rock, AR
Debbie Cavanaugh with Centaurus Financial Investigated by SEC KALISPELL, MONTANA Did you lose money with financial advisor Debbie Cavanaugh with Centaurus Financial in Kalispell, Montana?  She is also known as Debbie Lee McKenna Cavanaugh and was recently the subject of an investigation by the SEC for potentially violating Regulation Best Interest. The Securities and Exchange …
Read More "DEBBIE CAVANAUGH of Centaurus Financial Subject of INVESTIGATION"
2
Nov

PHILIP RIPOSO of United Planners Financial is FIRED

Losses with Rosaline Alam of Pruco Securities in Claremont, CA
Philip Riposo Fired By United Planners Financial Services NEW BEDFORD, MASSACHUSETTS and CAVE CREEK, ARIZONA  Have you lost money with Philip Riposo, a financial advisor formerly with United Planners Financial Services in New Bedford, Massachusetts?  Riposo was recently discharged by United Planners Financial Services, regarding allegations that he created fake statements from Zurich Kemper Investments …
Read More "PHILIP RIPOSO of United Planners Financial is FIRED"