by Jeff Pederson | Apr 17, 2017 | Uncategorized
Anne Marie Comcowich, a Scranton, Pennsylvania area securities broker, has agreed to a sanction to resolve a FINRA investigation. The underlying investigation concerned the unauthorized withdraw of funds, theft, from investor accounts. Ms. Comcowich was previously...
by Jeff Pederson | Feb 16, 2017 | Uncategorized
Please call for a free consultation with an attorney if you suffered losses First Financial Equity Corp., particularly if you suffered losses in ETF or annuity investments. First Financial Equity, a securities brokerage firm headquartered in Scottsdale, Arizona, as...
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 2, 2016 | Uncategorized
If you have suffered losses in variable annuities sold to you by Voya or Cetera subsidiaries such as Cetera Advisors, Cetera Financial Specialists, First Allied, Kestra Investment Services, FTB Advisors, Summit Brokerage and VSR, or if you were sold a variable annuity...
by Jeff Pederson | Oct 19, 2016 | Uncategorized
Paul Lebel, a broker formerly registered with LPL Financial, was barred on Tuesday, October 18, 2016, by the Securities and Exchange Commission for churning and excessively trading mutual funds in customer accounts and generating excess fees. If you suffered losses...
Recent Comments