NFL Chargers star Dwight Freeney is furious that his former financial advisor, Eva Weinberg received what is basically a 'slap on the wrist' for allegedly swindling him out of millions of dollars. He is now asking the judge to send her to prison. Court documents were filed on Monday in California alleging that Weinberg and […]

NFL Chargers star Dwight Freeney is furious that his former financial advisor, Eva Weinberg received what is basically a 'slap on the wrist' for allegedly swindling him out of millions of dollars. He is now asking the judge to send her to prison. Court documents were filed on Monday in California alleging that Weinberg and […]

Peggy Fulford and King Management Group and Associates have been sued in Federal Court by former NFL running back Ricky Williams. Williams is seeking a restraining order and injunction against Fulford, his former financial advisor, and damages for theft, breach of contract, and breach of fiduciary duty. Williams alleges his financial advisor impersonated his wife […]

Thomas O. Mikolasko, a former broker with HFP Capital Markets was fined $75,000 and suspended for 18 months by FINRA. Mikolasko allegedly engaged in activity to facilitate the sale of $3 million in Senior Secured Zero Coupon Notes to 58 customers of HFP. The notes were sold for Metals Millings and Mining LLC (MMM). These […]

Thomas O. Mikolasko, a former broker with HFP Capital Markets was fined $75,000 and suspended for 18 months by FINRA. Mikolasko allegedly engaged in activity to facilitate the sale of $3 million in Senior Secured Zero Coupon Notes to 58 customers of HFP. The notes were sold for Metals Millings and Mining LLC (MMM). These […]

On Dec. 4th., 2013, Springfield, Illinois financial advisor, David Matthew Lisnek, 45, was arrested for allegedly defrauding an 84-year-old Sangamon County woman out of $65,000. Lisnek had written several books on investing, including one on how to avoid being defrauded by your financial advisor. David Lisnek was employed by LPL Financial LLC. He was terminated […]

On Dec. 4th., 2013, Springfield, Illinois financial advisor, David Matthew Lisnek, 45, was arrested for allegedly defrauding an 84-year-old Sangamon County woman out of $65,000. Lisnek had written several books on investing, including one on how to avoid being defrauded by your financial advisor. David Lisnek was employed by LPL Financial LLC. He was terminated […]

A Milton, Massachusetts broker, Arnett Waters, pleaded guilty to 16 counts of securities fraud, mail fraud, money laundering and obstruction of justice. He was sentenced to 17 years in prison in April. Arnett Waters is now in Federal Prison in North Carolina. Recently, a settlement was reached in a civil case against Waters. Under this […]

A former Fort Lauderdale Ameriprise investment advisor, Shawn Sapp, was fined $25,000 by the Florida Office of Financial Regulation on Nov. 19, 2013, for taking loans from clients and not disclosing his criminal past. Sapp is banned from registering as a financial professional in the state of Florida for three years. Sapp was employed by […]