Gerald Eaton (Heritage Financial Group) Sentenced For Stealing $3.8 Million From Clients

Gerald Eaton (Heritage Financial Group) Sentenced For Stealing $3.8 Million From Clients

As a certified financial planner, 51-year old Gerald Eaton advised clients and invested their funds. He conducted business under the name of Heritage Financial Group, …

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Edmund Zack Aegis Capital Broker Fined and Suspended

Edmund Zack Aegis Capital Broker Fined and Suspended

A Letter of Acceptance, Waiver, and Consent (“AWC”) has been agreed between the Financial Industry Regulatory Authority (FINRA) and Edmund Zack, formerly a broker with …

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Former UBS Financial Advisor Joe Whitney Charged With Fraud

Former UBS Financial Advisor Joe Whitney Charged With Fraud

“My wife’s family matters which were fully disclosed to my employer, had absolutely nothing to do with the servicing of any of my client accounts, …

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DANIEL JAMES BURFEIND INVESTIGATION

DANIEL JAMES BURFEIND – MORGAN STANLEY, WAYZATA , MN. INVESTIGATION

Haselkorn & Thibaut, P.A., an investor rights law firm, is currently seeking information in connection with claims against DANIEL JAMES BURFEIND – MORGAN STANLEY, WAYZATA, …

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FMN Capital Corp Broker Jeffrey Stanga Faces FINRA Action

FMN Capital Corp Broker Jeffrey Stanga Faces FINRA Action

Failure to fully disclose the nature of his outside business activities has led to the Financial Industry Regulatory Authority (FINRA) suspending FMN Capital Corporation (FMNCC) …

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Aegis Capital Michael Venturino Complaints Investigation

Aegis Capital Michael Venturino Complaints Investigation

If you have had dealings with Long Island, NY broker Michael Venturino (Venturino, CRD# 5872439) from Aegis Capital, it may not be a bad idea …

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