by Jeff Pederson | May 4, 2023 | Uncategorized
Paul Koch is currently barred from the securities industry. He previously served as a financial adviser (broker) for RBC and UBS. His office and many of his victims were in the Twin Cities area. In an action filed by a former investor of Koch’s, the investor...
by Jeff Pederson | Feb 18, 2022 | Uncategorized
Please call 303-300-5022 if you have been sold a leveraged or inverse ETFs by brokers at Pursche Kaplan Sterling. Leveraged ETFs are ETFs with returns based upon some underlying multiplier of a commodity or index (2x S&P, 3x Gold, 2x Russell 2000, etc.). Inverse...
by Jeff Pederson | Nov 8, 2021 | Uncategorized
James Seijas, a former Wells Fargo broker who was alleged to be part of part of a crypto Ponzi scheme has now been barred by the Financial Industry Regulatory Authority from associating with any FINRA member firms. If you have suffered such losses, please call...
by Jeff Pederson | Sep 21, 2021 | Uncategorized
David Wells of Fifth Third in the Chicago area has surrendered his license after failing to comply with a regulatory investigation into his actions. If you believe you have suffered losses due to the misdeeds of Wells please call 303-300-5022. Initial consultation...
by Jeff Pederson | Jul 9, 2021 | Uncategorized
If you were an investor with John Henry Swon IV and suspect irregularities in your portfolio please call 303-300-5022. Consultations are free and confidential. Swon was previously a broker with Royal Alliance and Focus Financial. In July 2021 the Financial Industry...
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