Experienced attorneys helping investors nationwide to recover investment losses.

Investor Alert – Jeffrey Dragon and Berthel, Fisher & Company

Investor Alert – Jeffrey Dragon and Berthel, Fisher & Company

The Financial Industry Regulatory Authority (FINRA) has suspended the securities agent registration of Jeffrey Dragon of Burlington, Massachusetts for 21 months following an investigation into alleged sales practice violations. According to FINRA, Dragon recommended an unsuitable short-term trading strategy involving unit investment trusts (UITs) and structured the transactions so that his customers would not qualify for sales…

Investor Alert – Douglas Leone and Salomon Whitney Financial (SW Financial)

Investor Alert – Douglas Leone and Salomon Whitney Financial (SW Financial)

The Financial Industry Regulatory Authority (FINRA) recently initiated enforcement proceedings against stock broker Douglas Leone after he refused to cooperate with a regulatory investigation into allegations that he recommended unsuitable investments and engaged in excessive trading in customer accounts. Pending the outcome of the enforcement proceedings, Leone’s securities agent registration has been suspended. This is one of two on-going…

Investor Alert – Todd Burnett and Oppenheimer & Co.

Investor Alert – Todd Burnett and Oppenheimer & Co.

Stock broker and investment advisor Todd Burnett of St. Louis, Missouri is currently involved in a customer dispute relating to allegations of churning, suitability, conversion, and fiduciary breaches.  The customer is seeking to recover damages in the amount of $900,000. Suitability Financial advisors have a duty to recommend suitable investments and investment strategies to their clients.…