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Former J.P. Turner Broker Sean Sheridan Barred By FINRA for Short Term Trading of Investment Company Shares
May 22, 2013 @ 5:42 pm
   

The Financial Industry Regulatory Authority (FINRA) found that Sean M. Sheridan, during the course of his association with J.P. Turner & Co., Inc. fraudulently obtained $267,000 from at least eight customers, who also lost approximately $1,040,856 in connection with the short term trading of investment company shares.

Until sometime in 2010, Sean F. Sheridan ("Sheridan") was a registered representative of JPTC, and was purportedly a "Vice President of Investments" for a "franchise," or "independent" office of JPTC, which was located ...

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The Retirement Gamble Facing Us All
April 26, 2013 @ 8:13 pm
   

If you’ve been watching any commercial television lately, you are well aware that the financial services industry is very busy running expensive ads imploring us to worry about our retirement futures. Open a new account today, they say.

They are not wrong that we should be doing something: America is facing a retirement crisis. One in three Americans has no retirement savings at all. One in two reports that they can’t save enough. On top of that, we are living longer, and health care costs, as we all know, are increasing.

But, as I found when investigati...

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Knott’s Berry Farm Granddaughter Files $8.5M Securities Fraud Claim Against LPL Financial L.L.C.
March 26, 2013 @ 10:33 pm
   

Maureen Sloan, 63, of Newport Beach, Calif., claims former LPL Financial L.L.C. broker Alberto Neira stole $4.5 million from her through a fraudulent auto-financing scheme called Silver Oak Leasing. Ms. Sloan said she lost another $4 million in unsuitable trading of preferred stock. Ms. Sloan is the granddaughter of Walter Knott, founder of the Buena Park, Calif.-based Knott's Berry Farm.

Mr. Neira appears to have been associated with LPL Financial L.L.C. since February 2002.

LPL Financial LLC terminated Mr. Neira in January 2011 for "failure to fully discl...

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Citigroup Pays Their Own Bond and Preferred Stockholders $720 million for Supposedly Lying
March 20, 2013 @ 4:08 pm
   

Between May 2006 and August 2008, Citigroup raised over $71 billion dollars the offerings of bonds, and its preferred stocks, (which are not bonds, as their yields are merely precatory), to investors whom may have otherwise been led to believe were safe, conservative, higher than average yield investments.

However, as set forth in the Consolidated Amended Class Action Complaint filed in the Southern District of New York, it was alleged that Citigroup sold these securities, w...

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FINRA Regulatory Panel Approves Contractual License to Steal
February 22, 2013 @ 8:47 pm
   

It is OK to steal as long as you do not steal too much to get a greedy lawyer involved.

In the good old days, if you stole $100 from 2 million people, or $200 million, although no competent greedy lawyer would be willing to undertake your representation to recover your $100, the class action bar would line up to file a claim or class action lawsuit on your behalf and on behalf of all others similarly situated, to seek to recover the $200 million on behalf of the class of persons whom were also ripped off. Indeed, for smaller claims, the class action lawsuit is, and has been th...

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