Financial Advisors

Sep 10th, 2015
Published by Jeremy Hyndman at Sep 10th, 2015
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Cape Securities’ CCO Michael Lovett Establishes Inadequate Supervisory System That Leads to Wire Transfer Fraud

Michael Allen Lovett of Lawrenceville, Georgia was recently fined $5,000 and suspended for six months, according to Financial Industry Regulatory Authority, or FINRA. Reports detail that […]
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Aug 3rd, 2015
Published by Jeremy Hyndman at Aug 3rd, 2015
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Investors in Notes Offered by Thompson National Properties Are Securities Fraud Victims

FINRA recently ruled in a hearing panel decision that Anthony Warren Thompson and TNP Securities, LLC, engaged in widespread securities fraud, improperly taking over $35 million […]
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Jun 27th, 2015
Published by Jeremy Hyndman at Jun 27th, 2015
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Interinvest Corp Fraudulently Funnels $17 Million Earmarked for “Conservative Investing” into Sketchy Canadian Penny Stocks.

Hans P. Black and his investment advisory firm, Interinvest, are targets of an SEC complaint alleging a $17 million fraud. According to the SEC, Mr. Black’s […]
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Jun 23rd, 2015
Published by Jeremy Hyndman at Jun 23rd, 2015
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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 […]
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Jun 18th, 2015
Published by Jeremy Hyndman at Jun 18th, 2015
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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 […]
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Jun 15th, 2015
Published by Jeremy Hyndman at Jun 15th, 2015
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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 […]
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Jun 12th, 2015
Published by Jeremy Hyndman at Jun 12th, 2015
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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 […]
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Jun 11th, 2015
Published by Jeremy Hyndman at Jun 11th, 2015
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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 […]
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Jun 10th, 2015
Published by Jeremy Hyndman at Jun 10th, 2015
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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 […]
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Jun 9th, 2015
Published by Jeremy Hyndman at Jun 9th, 2015
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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 […]
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