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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.
November 27, 2007
Christina Mucciolo |
Top Independent Advisor Under Investigation From the complaints on Frank Bluestein's CRD, it appears that he is charged with selling unregistered securities to his clients with $1.57 million in alleged damages. |
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.
February 20, 2009
Kristen French |
News Roundup: BofA's Lewis Subpoenaed; Ponzi Pileup! Stanford Investigated For Ponzi Scheme; Morgan Still Poaching Brokers; Even Sin Businesses Take A Hit Another banking-chief head may be set to roll... A list of Ponzi schemers... Sin stocks lower... Morgan Stanley poaches brokers... |
