James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreHorizon 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 moreLPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…
read moreSeptember 2022 Sanctions by Certified Financial Planners Board According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in…
read moreKovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…
read moreYES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…
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 moreKurt Stein Investigation March 2022- New York, NY The FINRA records of Kurt Anthony Stein, a Quint Capital Corporation broker, discloses 2 prior customer disputes and 1 pending customer dispute. The Financial…
read moreGerald J. O’Halloran Investigation March 2022-Punta Gorda, Florida The FINRA records of Gerald J. O’Halloran, a previously registered stock broker who is currently employed by Union Capital Company and who was…
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