MONTEREY PARK, CALIFORNIA Have you lost money with financial advisor Joshua Helmle, formerly with Integrity Brokerage Services in Monterey Park, California? We are looking into allegations made against Joshua Helmle. Helmle has been the subject of two customer complaints, one of which was made within the last year. The complaint alleges losses in private placements…
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MIAMI, FLORIDA Have you lost money with financial advisor Alberto Valdes, formerly with Raymond James Financial and now with Citigroup in Miami, Florida? We are looking into allegations made against Alberto Valdes. Valdes has been the subject of two customer complaints, one of which was made within the last year. One of the complaints alleges…
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WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose…
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SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in…
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SHELTON, CONNECTICUT Have you lost money with financial advisor Cynthia Giovacchino, with LPL Financial in Shelton, Connecticut? We are looking into allegations made against Cynthia Giovacchino. Giovacchino has been the subject of four customer complaints, one of which was recently made. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts) and…
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COUNCIL BLUFFS, IOWA Have you lost money with financial advisor Chad M. Mackland of Council Bluffs, Iowa? We are continuing to look into allegations made against Mackland. The SEC recently barred Mackland from the securities industry in any capacity. Mackland was charged with multiple felonies related to insurance sales practices. In March 2021, FINRA, the…
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TARZANA, CALIFORNIA Have you lost money with financial advisor Christopher B. Kennedy, formerly with Western International Securities in Tarzana, California? We are looking into allegations made against Christopher Kennedy. Kennedy has been the subject of four customer complaints, three of which were made within the last year. The complaints allege unsuitable options trading that caused…
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MILPITAS, CALIFORNIA Have you lost money with financial advisor Daniel Tuan Kien Loy, formerly with Voya Financial Advisors in Milpitas, California? We are looking into allegations made against Daniel Tuan Loy. Loy has been the subject of three customer complaints, one of which was made within the last year. The recent complaint alleges unsuitable investments…
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SAN JUAN CAPISTRANO, CALIFORNIA Have you lost money with financial advisor Chad Schiel, with Independent Financial Group in San Juan Capistrano, California? We are looking into allegations made against Chad Schiel. Schiel has been the subject of a recent customer complaint. The customer alleged unsuitable investments in REITs or real estate investment trusts. The REITs…
Continue reading ›CUPERTINO, CALIFORNIA Have you lost money with financial advisor Peter Po, formerly with Voya Financial Advisors in Cupertino, California? We are looking into allegations made against Peter Po. Po has been the subject of three customer complaints, one of which was made within the last year. The recent complaint alleges unsuitable investments in real estate.…
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