Investor Alert: Robert Estevez, Joseph Gunnar & Co., LLC, and Investors Capital Corp

Investor Alert: Robert Estevez, Joseph Gunnar & Co., LLC, and Investors Capital Corp

On October 17, 2016, securities broker Robert Estevez  was suspended by the Financial Industry Regulatory Authority (“FINRA”) for allegedly making unsuitable investment recommendations to his clients. Estevez has also been ordered to cease and desist securities activity in the States of New Hampshire. and Michigan. According to his online FINRA Brokercheck report, Estevez recommended unsuitable short-term…

Unregistered Securities Agents Involved in Fraudulent Sale of Diversified Energy Group Bonds to Michigan Investors

Unregistered Securities Agents Involved in Fraudulent Sale of Diversified Energy Group Bonds to Michigan Investors

In June of 2016, Jane Evola of Macomb, Michigan and Nancy Bartolameolli of Troy, Michigan were ordered to cease and desist from selling unregistered, non-exempt securities in the State of Michigan after State regulators developed evidence that the duo had participated in the fraudulent sale of unregistered, non-exempt bonds issued by Diversified Energy Group, Inc.…

Investor Alert: David Miller, Gary Rathbun, and Triad Advisors, Inc.

Investor Alert: David Miller, Gary Rathbun, and Triad Advisors, Inc.

According to their Brokercheck reports, Douglas S. Miller and Gray Rathbun of the Toledo, Ohio-based investment advisor firm Private Wealth Consultants (“PWC”), and formerly of the brokerage firm Triad Advisors, Inc., have been permanently barred by FINRA.  The Brokercheck reports state that Miller and Rathbun were sanctioned for their role…

Investor Alert: Larry Roberson, Kevin Fifer, and Capital City Securities, LLC

Investor Alert: Larry Roberson, Kevin Fifer, and Capital City Securities, LLC

Larry Roberson On March 10, 2016, Michigan securities regulators initiated enforcement proceedings against Lawrence R. Roberson (a/k/a Larry Roberson), an investment adviser representative of Wealth Management Group, Inc. and a former securities agent of brokerage firm Capital City Securities, LLC. On July 19, 2016, Roberson was permanently barred from the brokerage industry by…