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Registered Rep.
December 3, 2007
Christina Mucciolo |
"Top" Independent Advisor Falls From Grace? Frank Julian Bluestein, a highly ranked independent financial advisor, is currently being investigated by Michigan state securities regulators, and, possibly, the SEC. Until recently, he was a co-owner of Maximum Financial in Waterford, Mich.   |
Registered Rep.
September 28, 2009
Christina Mucciolo |
SEC Charges Former GunAllen Advisor in Ponzi Former GunnAllen financial advisor Frank Bluestein has been charged with fraud for allegedly luring elderly investors into a $250 million Ponzi scheme. |
Registered Rep.
April 16, 2008 |
Former Gunnallen Broker Accused of a Ponzi Seven investors who say they were the victims of a Ponzi scheme by a former GunnAllen rep have filed an arbitration claim against the Tampa firm. |
Registered Rep.
March 22, 2010
Christina Mucciolo |
FINRA Closes GunnAllen, Next Step Uncertain FINRA shut down Gunn Allen Financial Monday morning for failing to meet net capital requirements. |
Financial Planning
June 1, 2010
Jeanne Lee |
Under Pressure Last month AFA Financial followed GunnAllen in shuttering its doors. Will more small independents close? |
Registered Rep.
January 1, 2003
Bill Singer |
Who Regulates the Regulators? In the securities industry, brokers are expected to follow the rules. If you don't, you will be held accountable by the NASD. But what do you do if the NASD doesn't follow the law? |
Registered Rep.
April 1, 2006 |
Mudslinger Stains Q: I've been a broker for 22 years and worked for two of the largest brokerage firms in the world. Several years ago, I received a phone call from a long-standing client, who'd received something strange in the mail... A: Document what is taking place... etc. |
