News Report 11/13/17

  1. Leon Rehak, a financial consultant with LPL Financial in Pompano Beach, Florida, and previously with Raymond James & Associates, has had customer complaints including allegations of excessive trading, churning, unauthorized trading breach of fiduciary duty, and other allegations and claims. See FINRA brokercheck. If you are an investor who suffered losses with Rehak, LPL Financial, or Raymond James relating to excessive trading, churning, unauthorized trades, unsuitable transactions, breaches of duty, or you have other issues or questions related to the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  2. Frank Giacalone, a financial consultant with Aegis Capital Corp. in Melville, New York, and previously with Obsidian Financial Group, LLC, has had customer complaints including allegations of churning, unsuitable recommendations, unauthorized trading breach of fiduciary duty, and other allegations and claims. See FINRA brokercheck. If you are an investor who suffered losses with Giacalone, Aegis Capital, or Obsidian Financial relating to churning, unauthorized trades, unsuitable transactions, breaches of duty, or you have other issues or questions related to the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  3. Anthony Vultaggio, Jr., a financial consultant who was with American Capital Partners, LLC. In East Meadow, New York, was the subject of a FINRA regulatory investigation and is accused of failing to cooperate in an investigation related to possible sales of undisclosed securities through an undisclosed outside business. See FINRA records including FINRA brokercheck. If you are an investor who suffered losses with Vultaggio, American Capital Partners, or relating to any private or personal financial arrangements or deal transactions and/or the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  4. Victor Sibilla, a financial consultant with Westpark Capital, Inc. in Scottsdale, Arizona has had customer complaints including allegations of unsuitable recommendations, excessive trading, misrepresentation, misuse of margin, and other claims. See FINRA brokercheck. If you are an investor who suffered losses with Sibilla or Westpark Capital, relating to excessive trading, misuse of margin, misrepresentation, unsuitable transactions, breaches of duty, or you have other issues or questions related to the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  5. Frederick Houck, a financial consultant formerly with Freedom Investors Corp. in Brookfield, Wisconsin. Houck has had one or more customer complaints or other disclosures related to churning, excessive trading, breach of fiduciary duty, as well as either potential tax lien or judgments that were disclosed. See FINRA brokercheck. If you are an investor who suffered losses with Houck, Freedom Investors or relating to churning, excessive trading or breaches of duty, or you have other issues or questions related to the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  6. Jonathan Freeze, a financial consultant who was with Fortune Financial in Canonsburg, Pennsylvania, and formerly with LPL Financial and Summit Brokerage Services, was the subject of a FINRA regulatory investigation and is accused of failing to cooperate in an investigation related to sales of variable annuities. It is believed that Freeze may have had previous regulatory issues relating to possibly borrowing funds from a customer and also allegedly failing to properly obtain prior written pre approval for same. Freeze may have been terminated by one or more of his prior employer firms. See FINRA records including FINRA brokercheck. If you are an investor who suffered losses with Freeze, Fortune Financial, LPL Financial, Summit Brokerage Services, or relating to any variable annuities, or private or personal financial arrangements or deal transactions and/or the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  7. Christopher Sinkula, a financial consultant with Janney Montgomery Scott, LLC. In Stuart, Florida, is believed to have been the subject of customer complaints alleging unsuitable recommendations, including possible issues with recommendations of energy stocks, variable annuities, concentration of energy securities, excessive fees, etc. See FINRA brokercheck. If you are an investor who suffered losses with Sinkula, Janney Montgomery or relating to energy, oil & gas, stocks, bonds, Master Limited Partnerships (MLPs), Exchange Traded Notes (ETNs), private placements, leveraged Exchange Traded Funds (ETFs), mutual funds, etc., or you have other issues or questions related to the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  8. Dennis McMurray, a financial consultant formerly with Girard Securities, Inc. in Irvine, California and with LPL Financial prior to that employment, is believed to have been terminated from his employment for an alleged violation of firm policy related to selling away and private securities transactions, including an alleged use of a non-approved email address. McMurray is also believed to the subject of a FINRA regulatory investigation and has since been barred from the securities industry due to an alleged failure to cooperate in a FINRA investigation that may have included issues related to outside business activities including 2 Truths, Veritas IQ, and possibly other entities or business activities as well. See FINRA brokercheck. If you are an investor who suffered losses with McMurray, Girard Securities or LPL Financial relating to any investment recommendations, private or personal business deals, or the handling of your investment portfolio, or, if you have other issues or questions related to the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  9. On 11/9/17, Investmentnews.com reported that Hank Mark Werner of Northport, New York was barred by FINRA for allegedly making fraudulent, unsuitable, recommendations to a client that was an elderly, blind widow. Legend Securities, the firm that supervised Werner, was also named by FINRA in an amended regulatory complaint alleging failure to reasonably supervise Werner. Werner s alleged activities included hundreds of trades generating over $200,000 in commissions while his customer (a 77 year old in ill health) lost more than $175,000 due to reckless trading, and it was alleged Werner had taken advantage of the customer’s vulnerability after her husband passed away. If you are an investor who suffered losses with Werner, Legend Securities, or from unsuitable recommendations or variable annuity transactions, please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.
  10. On 11/6/17, Investmentnews.com reported that Victor Michel who was employed by Financial West Group (FWG) was barred for allegedly using an unapproved email address to communicate firm related business with a customer and/or settling away a customer complaint. If you are an investor who suffered losses with Michel or Financial West Group (FWG), or from private or personal financial arrangements or deal transactions and/or the handling of your investment portfolio please call the Investment Loss Recovery Team at 1-800-856-3352 for a no-cost consultation and review.

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