Category: News

17
Dec

Lincoln Financial Advisors Corp. FINED for Failing to Supervise Financial Advisor

Warning! Michael Collins of Robert Baird & Co in Chicago, IL
Lincoln Financial Advisors Corporation Fined for Failing to Adequately Supervise Paul A. Thomas   We are currently investigating allegations made against Lincoln Financial Advisors Corporation, a Fort Wayne, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) filed a regulatory complaint against Lincoln Financial Advisors, alleging that it failed to adequately supervise the activities …
Read More "Lincoln Financial Advisors Corp. FINED for Failing to Supervise Financial Advisor"
4
Dec

Israels & Neuman, PLC Investigates Summit Brokerage Services, Inc. and ETFs

Summit Brokerage Services, Inc. and ETFs   Israels & Neuman, PLC is currently investigating allegations made against Summit Brokerage Services, Inc., a Boca Raton, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Summit Brokerage Services, making numerous allegations regarding its conduct, including its failure to supervise the sale …
Read More "Israels & Neuman, PLC Investigates Summit Brokerage Services, Inc. and ETFs"
24
Nov

Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services   Have you lost money with financial advisor Dennis Van Patter with VSR Financial Services of Plano, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, regarding Dennis Van Patter.  FINRA alleged that Van Patter recommended that one of …
Read More "Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services"
18
Nov

UPDATE! The Investigation of Chris Yoo and Summit Asset Strategies Investment Management

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Losses with Chris Yoo and Summit Asset Strategies Investment Management?   Have you lost money investing in the Summit Stable Value Fund or the Summit Stable Opportunities Fund I?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against the investment adviser of these funds, Chris Yoo of Bellevue, Washington.  Chris Yoo owned …
Read More "UPDATE! The Investigation of Chris Yoo and Summit Asset Strategies Investment Management"
16
Nov

INVESTIGATION OF GLENN R. KING, ROYAL ALLIANCE SECURITIES, and BUCKMAN, BUCKMAN & REID

WARNING! Arthur Meunier and Arthur Breitman
Glenn R. King, Royal Alliance Securities, and Buckman, Buckman & Reid   Have you lost money with financial advisor Glenn R. King from Shrewsbury, New Jersey?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against King. FINRA alleged that Glenn King made unsuitable recommendations to his customers to switch …
Read More "INVESTIGATION OF GLENN R. KING, ROYAL ALLIANCE SECURITIES, and BUCKMAN, BUCKMAN & REID"
26
Oct

LOSSES WITH FINANCIAL ADVISOR, JASON FIGUEROA, GMS GROUP LLC, ETFs, and EXCHANGE TRADED NOTES

Impending Investigation:  Jason Figueroa, GMS Group LLC, ETFs, and Exchange Traded Notes   Have you lost money with financial advisor Jason L. Figueroa from Boca Raton, Florida? We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Jason Figueroa.  Figueroa was barred from the securities industry by FINRA after he used …
Read More "LOSSES WITH FINANCIAL ADVISOR, JASON FIGUEROA, GMS GROUP LLC, ETFs, and EXCHANGE TRADED NOTES"
19
Oct

UPDATE: Investigation of KGTA PETROLEUM, JEFFREY GAINER, JERRY CICOLANI, KELLY HOOD, and PRIMESOLUTIONS SECURITIES

KGTA Petroleum, Jeffrey Gainer, Jerry Cicolani, Kelly Hood, and PrimeSolutions Securities   Have you lost money in KGTA Petroleum?  We are continuing our investigation into allegations made by the FBI, IRS, and the U.S. Attorney’s Cleveland office regarding Akron, Ohio-based KGTA Petroleum.  On December 8, 2014, criminal charges were brought against KGTA Petroleum co-owner and …
Read More "UPDATE: Investigation of KGTA PETROLEUM, JEFFREY GAINER, JERRY CICOLANI, KELLY HOOD, and PRIMESOLUTIONS SECURITIES"
1
Oct

Arbitration Award Against John S. Galinsky and Fintegra, LLC

UPDATE! Michael Dolan Suspended
Arbitration Award Against John S. Galinsky and Fintegra, LLC   In Anderson v. Matrix Capital Group et. al., eleven claimants brought claims against Matrix Capital Group, Inc., John W. Eugster, Fintegra LLC, and John S. Galinsky, alleging breach of fiduciary duty, unsuitable investments, and misrepresentations in connection with the sale of investments in MiaSole Investments …
Read More "Arbitration Award Against John S. Galinsky and Fintegra, LLC"