Current Investigations
Sam Aziz Broker Investigation
Sam Aziz, Coastal Securities – Dublin, Ohio Suspended by CFP Board Are you concerned about investments with Sam Aziz in Dublin, Ohio?...
FINRA Fines Summit Brokerage Services Inc. $550,000
Summit to pay Restitution to Customers for Excessive Trades According to a press announcement on Tuesday, the Financial Industry Regulatory...
James T. Booth Broker Investigation updated 10/2/19
CT financial advisor James T. Booth Reportedly Arrested for Alleged $5 Million Ponzi Scheme Have you suffered losses investing with James...
L & L International Holdings Inc. – Securities Investigation
L & L International Holdings Inc. Are you concerned about your investment in L & L International Holdings Inc.? If so, the...
Mill Green Opportunity Fund II Investigation
Securities Investigation- Mill Green Opportunity Fund II Are you concerned about your investment in Mill Green Opportunity Fund II? If so,...
Jon P. Lindberg Broker Investigation
Financial Advisor Jon P. Lindberg, First Advisor’s Capital – Birmingham, Alabama Are you concerned about investments you made with Jon...
