Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…
read moreTobin Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…
read moreKenneth A. Luccioni Investigation May 2022-Park Ridge, IL The FINRA records of Kenneth A. Luccioni, a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…
read moreEx-Pat With Losses in Your U.S. Brokerage Account? November 2021 If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South…
read moreDoc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers November 2021-Fort Worth, TX “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…
read moreDale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger, a broker who last worked for DMK Advisor Group and prior to that Securities America, …
read moreColorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…
read moreMichigan Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Michigan who have been disciplined by…
read moreOhio Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Ohio who have been disciplined by CFP…
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