Investment Firms

Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Spokane Financial Advisor Misappropriated Over $300,000 Of Customers’ Money

John C. Hanson, formerly a financial advisor at Northwestern Mutual, has been permanently barred from the securities industry. Mr. Hanson refused to comply with requests for […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Fircrest Financial Advisor Barred From Securities Industry For Steering Seniors Into Bogus Investments

Patrick Harrison, a former financial advisor at CUSO Financial Services, was recently barred from the securities industry. According to the Financial Industry Regulatory Authority (“FINRA”), Mr. […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Westover Stockbroker Barred From Associating With Broker-Dealers, But Is Still Active Investment Advisor

James McLaughlin was recently terminated from Securities America and barred by FINRA from associating with any of its members in any capacity. According to the Financial […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Alpharetta Stockbroker Fined For Failure To Report IRS Liens

Michael “Mike” Smith of Financial Telesis has been suspended for failure to disclose numerous federal tax liens filed against him. Stockbrokers are required to report several […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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Zhunrise Multilevel Marketing Plan is Ponzi Scheme, Says SEC

Zhunrise is a popular multilevel marketing company, taking in approximately 77,000 investors and $105 million since 2012 but, according to the SEC, it is also a […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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Martin Kelly Capital Management Defrauds Professional Athletes

The SEC filed fraud charges against investment adviser Bill Crafton of Martin Kelly Capital Management. Apparently, Mr. Crafton has provided advisory services for professional athletes in […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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SEC Accuses Prima Capital of Misappropriating Investor Funds

According to the Securities and Exchange Commission, Prima Capital Group and its owner, Efstratios “Elias” Argyropoulos, frittered away customer money on unauthorized day trading. Investors believed […]
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Dec 8th, 2014
Published by Jeremy Hyndman at Dec 8th, 2014
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California Variable Annuities Broker Swapped Fluids to Close Sales

Antonio “Pedro” Vergaray Falcon of Granada Hills, California was terminated from NY Life after an internal investigation concluded that he had provided his own fluid samples […]
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Dec 7th, 2014
Published by Jeremy Hyndman at Dec 7th, 2014
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FINRA alleges Buford Stockbroker Improperly Sold Risky, Private Securities

Kenneth Brownlee of AllState Financial Services allegedly convinced clients to invest in a private company without disclosing the sales to his employer, and while he received […]
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Dec 6th, 2014
Published by Jeremy Hyndman at Dec 6th, 2014
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Seattle Stockbroker Suspended for Secretly Pushing Clients into Risky Pre-IPO Investments

Benjamin Doyle Maleche of LPL Financial was recently fined and suspended for failing to tell his member firm—JP Morgan at the time—that he was recommending his […]
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