UPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…
read moreMarch 2016 With oil down 60% from just a year ago, it is no surprise that investments in oil and gas have followed a similar path, generating significant losses in…
read moreSeptember 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…
read moreMarch 16, 2016 Chesapeake Energy, Chesapeake Exploration, SandRidge Energy and other defendants were named in a class action filed by landowners alleging antitrust violations and bid rigging designed to depress…
read moreThe FBI announced the arrest and extradition of repeat securities fraud offender Edward Durante, also known as: Ted Wise Efran Eisenberg Yulia Ed Simmons Durante was arrested in Germany and…
read moreFebruary 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…
read moreMarch 1, 2016- Louisville, KY A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Questar Capital Corporation to pay a customer $120,391, plus costs. The customer filed a case seeking damages as a result of…
read moreJUNE 2018- Clearwater, FLA We are investigating the Csenge Advisory Group on behalf of an elderly lady who alleges that she was sold an unsuitable real estate investment trust (REIT).…
read moreMarch 3, 2016- Des Moines, Iowa A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Sagepoint Financial to pay $57,500 to a wife who brought the action against Sagepoint alleging…
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