Raymond James Financial Advisor, Jason Brienen, Terminated Jason Brienen was a Raymond James Financial Services, Inc. Advisor in Tallahassee, Florida who appears to have been terminated by Raymond James after allegations arose related to alleged rule violations and/or after requirements of a heightened supervision plan were not satisfied. See Financial Industry Regulatory Authority (FINRA) Brokercheck. […]
Investment Alert 8/24/2018 Read More »
Ameriprise Settles SEC Allegations On 8/15/18, OnWallStreet reported that Ameriprise agreed to pay $4.5 million to settle Securities and Exchange Commission (SEC) charges. The SEC allegations charged that Ameriprise’s independent advisor platform included at one time five financial advisors who had stolen substantial monies from clients over a period of several years. There were alleged
Investment Alert 8/22/2018 Read More »
Cornelius Peterson a Former Boston Morgan Stanley Broker, Barred By the SEC On 7/18/18, Investment News reported that a former Morgan Stanley Financial Advisor who allegedly took $450,000 from clients was barred by the Securities and Exchange Commission (SEC). Cornelius Peterson was previously employed by Morgan Stanley in Boston, Massachusetts from 2011-2017. Peterson was terminated
Investment Alert 7/27/2018 Read More »
Reef Securities and President, Paul Mauceli allegedly failed to notify investors in a timely manner of a right to rescission related to sales of an oil and gas drilling income fund limited partnership. Financial Industry Regulatory Authority (FINRA) entered an Acceptance Waiver and Consent without any admission or denial as to the underlying allegation. If
News Report – 6/22/18 Read More »
Jason Haselkorn concentrates his practice in securities arbitration, investment litigation and employment litigation. For over 24 years, Jason has used his background and experience in the financial services industry to represent clients in large arbitration and complex litigation matters. Jason has been a senior partner in a large law firm, before starting his own firm
Jason S. Haselkorn – Investment Fraud Lawyer Read More »