Beware Of High-Yield CD Offers

Posted on Mar 4, 2016

A recent FINRA Alert “High-Yield CD Offers Can Be Bait for High-Commission Investments” reports… “Maybe you’ve seen ads promoting “High CD Yields!” that offer rates significantly higher than other bank products.  If you inquire about the certificate of deposit (CD), you may find yourself listening to a sales pitch and ultimately owning a very costly, potentially risky investment.”...

INVESTOR ALERT

Posted on Feb 24, 2016

A recent FINRA alert discusses how, “High-Yield CD Offers Can Be Bait for High-Commission Investments.”  This alert comes following a high number of calls to the Securities Help Line For Seniors.  Click here to read more.

Tracy Neal Wengert of Lakeside, Arizona Barred from FINRA

Posted on Jan 24, 2016

Tracy Neal Wengert of Lakeside, Arizona (page 36) has been barred from association with any FINRA member in any capacity.

John Anthony Waszolek of Scottsdale, Arizona Barred from FINRA

Posted on Dec 10, 2015

John Anthony Waszolek of Scottsdale, AZ (page 34), was barred from association with any FINRA member.  Without admitting or denying the allegations, he consented to a sanction and to the entry of findings that he took unfair advantage of an elderly customer.  He attempted to inherit more than $1.8 million from her estate following her...

Toll-Free FINRA Helpline For Seniors

Posted on Sep 3, 2015

In a press release issued April 20, 2015, The Financial Industry Regulatory Authority (FINRA) announced they have launched, “the toll-free FINRA Securities Helpline for Seniors”.  The goal is to provide a supportive place to get assistance from knowledgeable FINRA staff related to brokerage account and investment concerns.  To learn more, visit Helpline for...

Check Out Your Broker

Posted on Apr 1, 2015

with FINRA’s Broker Check