by Jeff Pederson | Feb 24, 2017 | Uncategorized
On February 21, 2017, he Securities and Exchange Commission charged William P. Carlson, Jr., a Deerfield, IL investment advisor with misappropriating more than $900,000 from a client’s account through more than 40 unauthorized transactions. Deerfield is in the...
by Jeff Pederson | Jan 18, 2017 | Uncategorized
The Financial Industry Regulatory Authority (FINRA) announced in January 2017 that it resolved a regulatory action against Dougherty & Company LLC, headquartered in Minneapolis, Minnesota. We believe that this action exposed supervisory problems within...
by Jeff Pederson | Nov 27, 2016 | Uncategorized
As reported in Investmentnews.com, Levi David Lindemann, a Minnesota-based investment adviser has received a six-plus-year prison sentence for stealing from clients and perpetuating a Ponzi scheme. The 40-year-old adviser, Lindemann, was sentenced to 74 months in...
by Jeff Pederson | Aug 16, 2016 | Uncategorized
If you suffered investment loss with David B. Tysk please call 1-866-817-0201 for a free consultation. David Tysk, financial advisor for Ameriprise in Eden Prairie, MN, was fined $50,000 and suspended from association with any FINRA member in any capacity for one...
by Jeff Pederson | May 6, 2015 | Uncategorized
If you have lost money with LPL you may be entitled to recovery of some or all of your losses. Please call 1-866-817-0201 toll-free to speak to a lawyer for more information. In May 2016, LPL broker Brian David Smit of Sioux Falls, South Dakota was barred from the...
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