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Investor Alert

Investor Alert – Gary Forrest and American Portfolios Financial Services

Investor Alert – Gary Forrest and American Portfolios Financial Services

The Financial Industry Regulatory Authority (“FINRA”) has suspended the securities agent registration of Gary Forrest of Flint, Michigan after a regulatory investigation resulted in findings that Forrest engaged in unapproved private securities transactions involving the sale of unregistered securities issued by the Woodbridge Group of Companies (“Woodbridge”). According to his Brokercheck report,…

Investor Alert – Matthew Lasko and UBS Financial Services

Investor Alert – Matthew Lasko and UBS Financial Services

Stockbroker Matthew Lasko of UBS Financial Services in Dallas, Texas is involved in a legal dispute with a customer who alleges that Lasko recommended an unsuitable options-overlay strategy, which UBS referred to as the “yield enhancement strategy.” The customer is seeking damages of $500,000. UBS’ “yield enhancement strategy” was sold to investors as a safe,…