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15
May

WARNING! Impending Investigation–PHILIP L. GRASSO and ALLSTATE FINANCIAL SERVICES

Philip L. Grasso and Allstate Financial Services Have you lost money with financial advisor Philip L. Grasso of Fishkill, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Philip Grasso.  Grasso was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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15
May

WARNING! Impending Investigation–NICHOLAS H. HARPER and WELLS FARGO ADVISORS

Nicholas H. Harper and Wells Fargo Advisors Have you lost money with financial advisor Nicholas H. Harper of Topeka, Kansas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nicholas Harper.  Harper was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Harper …
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7
May

WARNING! Impending Investigation–PAUL ELVIDGE and CAPE SECURITIES, INC.

Paul Elvidge and Cape Securities, Inc. Have you lost money with financial advisor Paul Elvidge from Port St. Lucie, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul Elvidge, and the brokerage firm that he previously worked with, Cape Securities, Inc.  FINRA alleges that Elvidge stole at least $690,000 …
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6
May

PRESS RELEASE: Israels & Neuman, PLC Continues its Investigation into LPL FINANCIAL – LPL Financial to pay $10M to Settle Allegations

Israels & Neuman PLC Investigation Continues:  LPL FINANCIAL TO PAY $10 MILLION TO SETTLE ALLEGATIONS   We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against LPL financial, making numerous allegations regarding its conduct, including failures to supervise the …
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6
May

WARNING! Impending Investigation–LPL FINANCIAL, ETFs, and NON-TRADED REITs

LPL Financial, ETFs, and Non-traded REITs   We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against LPL financial, making numerous allegations regarding its conduct, including failures to supervise the sales of non-traditional ETFs (inverse or leveraged ETFs), variable …
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4
May

WARNING! Impending Investigation–ROBERT TRICARICO and LPL FINANCIAL

Robert Tricarico and LPL Financial Have you lost money with financial advisor Robert Tricarico from Westport, Connecticut?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert Tricarico.  FINRA barred Tricarico from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating allegations that he converted …
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4
May

WARNING! Impending Investigation–MICHAEL S. BELL and WESTPARK CAPITAL INC.

Michael S. Bell and Westpark Capital Inc. Have you lost money with financial advisor Michael S. Bell from Boca Raton, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Bell.  FINRA alleges that Bell used a personal email address to solicit investors to invest in a private placement offering …
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1
May

WARNING! Impending Investigation–DAVID J. HACKNEY and LPL FINANCIAL

David J. Hackney and LPL Financial Have you lost money with financial advisor David J. Hackney from Chicago, Illinois?  We are currently investigating allegations made by the Illinois Securities Department against David Hackney.  The Illinois Securities Department alleged that Hackney excessively traded or churned several customers’ accounts.  FINRA, the Financial Industry Regulatory Authority, previously barred …
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27
Apr

WARNING! Impending Investigation–TOBIN J. SENEFELD, JEFFREY B. RISINGER, MATTHEW D. HAAB, and FARMGROWCAP LLC

Tobin J. Senefeld, Jeffrey B. Risinger, Matthew D. Haab, and FarmGrowCap LLC Have you lost money with financial advisors Tobin J. Senefeld, Jeffrey B. Risinger, and Matthew D. Haab of Carmel, Indiana?  The Securities and Exchange Commission (SEC) brought a regulatory action against Senefeld, Risinger, Haab, and the companies that they were affiliated with.  Haab …
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27
Apr

WARNING! Impending Investigation–AARON R. PARTHEMER, MORGAN STANLEY SMITH BARNEY, and WELLS FARGO ADVISORS

Aaron R. Parthemer, Morgan Stanley Smith Barney, and Wells Fargo Advisors Have you lost money with financial advisor Aaron R. Parthemer of Fort Lauderdale, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Aaron Parthemer.  Parthemer agreed to be barred from the securities industry after he solicited clients to invest …
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