The most recent filing by Sigma Financial Corp. reveals four open arbitration claims with total damages sought adding up to $4.5 million. The Focus Report is filed by brokerage firms with the Securities and Exchange Commission (SEC) and is in the nature of an audited financial statement. Haselkorn & Thibaut, P.A., has started an investigation […]
Sigma Financial Staring at $4.5 million in Claims Read More »
Center Valley, Pennsylvania-based Kevin Houser, a financial advisor with Ameriprise Financial Services, has been named in four separate customer disputes that are pending resolution. These disputes are over alternative investments recommended by him and are understood to be of substantial value. Haselkorn & Thibaut, P.A., is currently investigating Kevin Houser. Clients and anyone having information
4 Complaints Filed Against Kevin Houser (Ameriprise Financial) For $1.6 Million Read More »
Though you may experience feelings of helplessness or despondency if you have lost money in an investment owing to a scam or a fraud, you need to make an effort to get to the bottom of the situation in order to initiate a recovery process. Your actions will also serve to highlight the crime and
How to file a Complaint Against a Financial Advisor Read More »
Failure to provide requested information and documents to the regulator has earned LPL financial advisor John E. Simmons Jr. an automatic debarment from the industry. It appears that a letter from the self-regulating organization FINRA (Financial Industry Regulatory Authority) was sent to Simmons in February asking for information pertaining to the investigations it was carrying
LPL Financial Complaint “FINRA” Leads to John Simmons Getting Barred Read More »
O.N. Equity Sales Company (ONES) is the latest broker-dealer to be found guilty of lack of supervision of its brokers by the Financial Industry Regulatory Authority (FINRA). The result is a fine of $275,000 and an order to pay restitution to impacted customers, amounting to over a million dollars, including interest. This is as per
O.N. Equity Sales Company (ONES) Fined by FINRA and Pay $1 Million Restitution Read More »