by Jeff Pederson | Apr 18, 2017 | Uncategorized
Mark Holt is a former stock broker currently serving a prison sentence for stealing the funds of his investors and sending false account documents. The scheme victimized investors in Minnesota and likely elsewhere. Due to the incarceration, investors seeking...
by Jeff Pederson | Mar 15, 2017 | Uncategorized
Cadaret, Grant & Co., Inc. of Syracuse, New York and Stockbroker Charles Lee Deremo of Apple Valley, Minnesota submitted a Letter of Acceptance, Waiver and Consent. If you invested with either Cadaret or Deremo, please call 1-866-817-0201 for a free consultation...
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...
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