Washington

Mar 13th, 2017
Published by Jeremy Hyndman at Mar 13th, 2017
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ICM Asset Management in Spokane Closing its Doors under Suspicious Circumstances

ICM Asset Management of Spokane, Washington plans to close its doors permanently next month. Just a couple of years ago, the Spokane Journal of Business hailed […]
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Sep 7th, 2016
Published by Jeremy Hyndman at Sep 7th, 2016
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Six Month Update On Aequitas Lawsuit: Why Aequitas Investors Need to Seriously Consider Suing their Financial Advisor

The US Securities & Exchange Commission filed its lawsuit against Aequitas about six months ago, so now seems to be a good time to evaluate what […]
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Sep 5th, 2016
Published by Jeremy Hyndman at Sep 5th, 2016
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Concert Wealth Management Woes Worse than Just Aequitas – SEC Finds Willful Securities Law Violations

Investors who purchased Aequitas investments through Concert Wealth Management advisers might not be surprised to learn that Concert Wealth Management is in trouble again. (Several Concert […]
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Jun 24th, 2015
Published by Jeremy Hyndman at Jun 24th, 2015
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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 […]
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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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Apr 6th, 2015
Published by Jeremy Hyndman at Apr 6th, 2015
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Financial Advisor With Morgan Stanley Engages In Unauthorized Trading

A financial advisor with Morgan Stanley has been punished for making sale transactions in an investor’s account, without the investor’s consent. Shawn Richardson forced the investor […]
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Apr 3rd, 2015
Published by Jeremy Hyndman at Apr 3rd, 2015
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National Securities Corporation Fined for Failure to Report Customer Complaints

National Securities Corporation (“National”) was reprimanded and fined for failing to file customer complaints and settlements with the Financial Industry Regulatory Authority (“FINRA”). National, a member […]
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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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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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