4 Complaints Filed Against Kevin Houser (Ameriprise Finan…
4 Complaints Filed Against Kevin Houser (Ameriprise Finan… Read More »
Financial Advisor Fraud
How to file a Complaint Against a Financial Advisor
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
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LPL Financial Complaint “FINRA” Leads to John Simmons Getting Barred
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
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O.N. Equity Sales Company (ONES) Fined by FINRA and Pay $1 Million Restitution
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
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FiNet Financial Advisor Gary Len Wells Suspend By FINRA and Fined
Gary Len Wells, a Tacoma, Washington-based advisor of Wells Fargo Advisors has been suspended by the Financial Industry Regulatory Authority (FINRA). This is in addition to the imposition of a $20,000 fine. The disciplinary action has been taken against Wells for violating the policies of Wells Fargo as well as industry rules that govern potential
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