Investment Firms

Nov 25th, 2015
Published by Jeremy Hyndman at Nov 25th, 2015
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Allstate Financial Advisor Kenneth Brownlee Implicated in Ponzi Scheme in Buford, Georgia

Mr. Brownlee has been barred from the brokerage business after getting his clients into a Ponzi scheme, according to a hearing panel decision recently issued by […]
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Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
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Head of Enviso Capital Ryan Bowers Fined and Suspended By FINRA For Withholding Information From Investors In San Diego.

Ryan Neel Bowers of Enviso Capital has been fined $25,000 and suspended from the brokerage industry for five months for failure to make important disclosures to […]
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Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
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James (“Jim”) Belenis of KMS Financial Fined and Suspended For Improper Sales of Gold Mining Company in Davis California

James D. (“Jim”) Belenis of KMS Financial in Davis, California went off the reservation and ended up in a gold mine. Mr. Belenis broke FINRA rules. […]
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Nov 16th, 2015
Published by Jeremy Hyndman at Nov 16th, 2015
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Newport Coast Securities Fined For Failing Catch Theft By Financial Advisor Gregory Allen Baldwin

The Financial Industry Regulatory Authority (FINRA) recently censured and fined Newport Coast Securities for lax supervision of its financial advisors. What one financial advisor, Greg Baldwin, […]
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Nov 12th, 2015
Published by Jeremy Hyndman at Nov 12th, 2015
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Philip Dunwoody Cox of Bluestone Wealth Planning Suspended for Creating False Financial Records

The Financial Industry Regulatory Authority (FINRA) recently suspended Mr. Cox from associating with any broker-dealer for three months due to his conduct at Sterne Agee. According […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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Investors Overcharged at National Planning Corp, a Jackson National Life Affiliate

The Financial Industry Regulatory Authority (FINRA) recently fined National Planning Corporation (NPC) $30,000 for overcharging clients who purchased non-traded REITs. Non-traded REITs are a risky, illiquid […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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At JP Turner Our Customers Are Number… Two?

JP Turner is once again in the regulatory spotlight, being fined by $45,000 by FINRA for failing to give their clients volume discounts their investors were […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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Lonny Bernath of Headline Capital Management LLC Targeted By The SEC

According to the Securities and Exchange Commission, Lonny Bernath established several investment funds, but misled investors as to how their funds would be invested, and failed […]
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Nov 10th, 2015
Published by Jeremy Hyndman at Nov 10th, 2015
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Pennsylvania Investment Advisers Defraud Hundreds of Investors of Over $50 Million

A father-son investment team in Pennsylvania recently settled a lawsuit filed by the Securities and Exchange Commission (SEC) in federal court. According to the complaint, Kevin […]
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Nov 4th, 2015
Published by Jeremy Hyndman at Nov 4th, 2015
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Multimillion Dollar Ponzi Scheme in Orange County Perpetrated by Roy Dekel and Diverse Financial Corporation

According to an SEC complaint filed in federal court a few days ago, investors who trusted Roy Dekel and Diverse Financial Corporation in Newport Beach may […]
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