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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.
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.
October 1, 2005
John Churchill |
Growth at a Price While nobody is accusing GunnAllen of running a crooked business, the firm's growth strategy has translated to a reputation for hiring a relatively high proportion of reps with heavily marked up U4s, including some who have received criminal complaints. |
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. |
InternetNews
February 28, 2006
Roy Mark |
Feds Bust $50M Online Ponzi Scheme A North Carolina woman and her two companies settled federal charges that she operated a classic Ponzi scheme that generated $50 million on her paid "autosurf" Web site. |
Financial Planning
June 1, 2010
Jeanne Lee |
Under Pressure Last month AFA Financial followed GunnAllen in shuttering its doors. Will more small independents close? |
Investment Advisor
April 2009 |
B/D Briefing: News & Products The latest from the broker/dealer world. |
Registered Rep.
January 1, 2005
David A. Gaffen |
Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place. |
Registered Rep.
August 1, 2006
John Churchill |
60 Seconds With...Rick Frueh A short interview with the chairman and CEO of GunnAllen Financial about its upper management hiring tear. |
On Wall Street
February 1, 2010
Alan J. Foxman |
Advisor Sued When Market Is to Blame Legal experts answer questions from advisors who are being sued by clients who have lost money in the financial turmoil. |
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... |
Financial Planning
June 1, 2005
Black & Liptow |
FP50: The Rising Tide Among the 50 largest independent financial advisory firms--this year's FP50--revenues and assets under management were up, and losses were down. The leaders are holding their top slots, while many newbies are growing at a dramatic clip. |
