Blog

Jun 24th, 2015
Published by Jeremy Hyndman at Jun 24th, 2015
Categories

National Securities Corporation (NSC) Hides Amount of Compensation Received for Selling Private Placements.

Selling private placements can be very lucrative, paying financial advisors commissions as high as 12%. This creates a classic conflict of interest. While a financial advisor […]
Do you like it?0
0 Read more
Jun 23rd, 2015
Published by Jeremy Hyndman at Jun 23rd, 2015
Categories

The One Reason Why Variable Annuities Are Almost Always A Bad Idea

Financial advisors love to sell variable annuities. The reason is simple—commissions of up to 8%. If a financial advisor can sell you a $200,000 variable annuity, […]
Do you like it?0
0 Read more
Jun 23rd, 2015
Published by Jeremy Hyndman at Jun 23rd, 2015
Categories

Kyson & Co. Financial Advisor Withholds Bankruptcy Petitions From Investors

Victor Tien Luu, in Seattle, Washington, has been suspended and fined $10,000 for withholding information from investors and his member firm. According to FINRA, Luu had […]
Do you like it?0
0 Read more
Jun 18th, 2015
Published by Jeremy Hyndman at Jun 18th, 2015
Categories

LPL Financial Advisor In Alhambra, California Borrows $19,700 From Investor And Then Lies To Firm

Emiliano Rocha Jr., formerly employed with LPL Financial and Invest Financial Corporation, has been suspended for seven months and fined $10,000. Rocha borrowed $19,700 from an […]
Do you like it?0
0 Read more
Jun 15th, 2015
Published by Jeremy Hyndman at Jun 15th, 2015
Categories

Unlicensed Financial Advisors Defraud Investors Out Of $4.3 Million

Christopher A. Novinger, Brady J. Speers, and their company, NFS Group, LLC have been sued by The Securities and Exchange Commission for defrauding investors by selling […]
Do you like it?0
0 Read more
Jun 12th, 2015
Published by Jeremy Hyndman at Jun 12th, 2015
Categories

PFS Investments Financial Advisor Tells Client To Invest $160,000 In Scam

Norma Monica Skeete from Arlington, Virginia is responsible for an investor losing approximately $160,000. She recommended an investment scam to a client without checking to make […]
Do you like it?1
0 Read more
Jun 11th, 2015
Published by Jeremy Hyndman at Jun 11th, 2015
Categories

Indianapolis Financial Advisor Makes Unauthorized Trades In Investors’ Accounts

James Madden, a financial advisor with Raymond James & Associates, has been fined and suspended for unauthorized trading in investors’ accounts. FINRA rules as well as […]
Do you like it?0
0 Read more
Jun 10th, 2015
Published by Jeremy Hyndman at Jun 10th, 2015
Categories

Financial Advisor In Lansdale, Pennsylvania Borrows Investor Money

Robert Forest Held Jr., a financial advisor formerly employed with Hornor Townsend & Kent Inc. (“HTK”), has been suspended and fined for borrowing funds from a […]
Do you like it?0
0 Read more
Jun 9th, 2015
Published by Jeremy Hyndman at Jun 9th, 2015
Categories

This Merrill Lynch Financial Advisor Stole Over $100K From Investors

Tammy Charlene Petersen, a financial advisor from Carrollton, Virginia, has been barred from the securities industry for stealing $107,378 from firm customers. She wired money from […]
Do you like it?0
0 Read more
Jun 8th, 2015
Published by Jeremy Hyndman at Jun 8th, 2015
Categories

Five Million Dollar Investment Scam Rips Off Investors In Maryland, Virginia, And California

Investors were defrauded by the employees of two separate companies, North Star Finance LLC and Capital Source Lending LLC, when the employees persuaded them to invest […]
Do you like it?0
0 Read more
Prev page
1234567891011121314151617
Next page