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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DACULA, GEORGIA Have you lost money with financial advisor Eric Hollifield, formerly with LPL Financial in Dacula, Georgia? We are looking into allegations made against Eric Hollifield. Hollifield has been the subject of a recent customer complaint, alleging that Hollifield misappropriated or stole $1.24 million from the customer. Shortly after the complaint was filed, Hollifield…
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Investigation of George McCaffrey Regarding Greenhouse Building and Leasing Company ENGLEWOOD, COLORADO – Have you lost money with financial advisor George McCaffrey from Englewood, Colorado? We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against George L. McCaffrey III. In 2018, FINRA suspended McCaffrey from the securities industry for…
Continue reading ›BETHESDA, MARYLAND – Have you lost money with financial advisor Daniel Don Jossen? We are looking into allegations made about Daniel Jossen from Bethesda, Maryland. FINRA (the Financial Industry Regulatory Authority) barred Jossen from the securities industry. FINRA alleged that Jossen has failed to respond to its investigation regarding allegations that he misrepresented the terms…
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PARAMUS, NEW JERSEY – Have you lost money with financial advisor Robert A. Lax, formerly of Park Avenue Securities in Paramus, New Jersey? We are looking into allegations made against Robert Lax. Robert Lax has been barred from the securities industry by FINRA. It was alleged that Lax engaged in outside business activities while he…
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