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26
Feb

WARNING! Impending Investigation–FRANCIS V. LORENZO and HUNTER WISE SECURITIES LLC

Francis V. Lorenzo and Hunter Wise Securities LLC Have you lost money with financial advisor Francis V. Lorenzo?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Francis Lorenzo, a financial advisor from New York City.  The SEC alleges that Lorenzo violated securities rules and regulations when he solicited investors to …
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26
Feb

WARNING! Impending Investigation–PERRY S. ABBONIZIO and WELLS FARGO ADVISORS

Perry S. Abbonizio and Wells Fargo Advisors Have you lost money with financial advisor Perry Stephen Abbonizio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Perry Abbonizio, from Conshohocken, Pennsylvania.  FINRA alleges that Abbonizio participated in private securities transactions without approval from his securities brokerage firm, Wells Fargo Advisors.  FINRA …
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16
Feb

WARNING! Impending Investigation–METLIFE SECURITIES and JOHN D. FORD

John D. Ford and MetLife Securities We are currently investigating allegations made by the Utah Division of Securities against financial advisor John Darin Ford from Sandy, Utah.  The Utah Division of Securities, headquartered in Salt Lake City, recently brought a regulatory complaint against John Ford, alleging that Ford altered and forged client signatures on IRA …
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16
Feb

PRESS RELEASE: Israels & Neuman PLC files arbitration Complaint against LPL FINANCIAL and VALIC

Jodie L. Miller, VALIC Financial Advisors, and LPL Financial FOR IMMEDIATE RELEASE – Israels & Neuman PLC announce the filing of an arbitration complaint on behalf of investors who suffered losses in Tri-Med Corporation, against VALIC Financial Advisors and LPL Financial LLC.  The investors were solicited to invest in Tri-Med Corporation by Jodie L. Miller, …
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14
Feb

WARNING! Impending Investigation–ONE AMERICA SECURITIES and MATTHEW J. DAVIS

OneAmerica Securities, Inc. and Matthew J. Davis   We are currently investigating allegations made against OneAmerica Securities Inc., an Indianapolis, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against OneAmerica Securities for failing to supervise one of its financial advisors, Matthew J. Davis.  Matthew Davis was alleged to have …
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12
Feb

UPDATE! Investigation of JEFFREY MEYER and UNITED PRIVATE CAPITAL

Jeffrey Meyer and United Private Capital Have you lost money with financial advisor Jeffrey Brian Meyer? We are continuing our investigation into allegations made against Jeffrey Brian Meyer from Lake in the Hills, Illinois.  We have represented a client who invested in United Private Capital at the recommendation of Jeffrey Meyer. FINRA (the Financial Industry …
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11
Feb

WARNING! Impending Investigation–JASON A. MUSKEY and AMERITAS INVESTMENT CORP.

Jason A. Muskey and Ameritas Investent Corp. Have you lost money with financial advisor Jason A. Muskey of Moosic, Pennsylvania?  We are investigating allegations that Jason Muskey stole money from his clients.  Muskey was recently charged with mail fraud, money laundering, and identity theft by the U.S. Attorney’s office in the Middle District of Pennsylvania.  …
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5
Feb

ARBITRATION AWARD AGAINST CRAIG A. MAXEY and MOLONEY SECURITIES CO.

Arbitration Award Against Craig A. Maxey and Moloney Securities Co.   In Laurie D. Miranda v. Craig A. Maxey and Moloney Securities Co., Inc., FINRA No. 13-02321, a customer Claimant sued Craig Maxey and Moloney Securities Co. related to investments in a number of stocks, including BPZ Resources Inc., Canadian Superior Energy, China Sunergy Co., …
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4
Feb

WARNING! Impending Investigation–WORLD EQUITY GROUP, ETFs, and PRIVATE PLACEMENTS

World Equity Group, ETFs, and Private Placements   We are currently investigating allegations made against World Equity Group, an Arlington Heights, Illinois-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against World Equity Group, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ETFs; …
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4
Feb

UPDATE–Investigation of ERIC WILLIAM JOHNSON and REDRIDGE SECURITIES

Eric William Johnson and RedRidge Securities Have you lost money in Eric William Johnson from Hinsdale, Illinois?  Eric William Johnson was recently barred by FINRA, the Financial Industry Regulatory Authority, for stealing money from his customers’ accounts and depositing the money into his own personal accounts.  The Securities and Exchange Commission also brought an emergency …
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