Articles Tagged with Conversion

Jeffrey GiesekePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former California-based Financial West Group broker Jeffrey Gieseke is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gieseke (CRD# 2331700), especially if these complaints related to investments in Vertical Fund private placements.

Jeffrey Gieseke has spent 17 years in the securities industry and was most recently registered with Financial West Group in Tarzana, California (1999-2012). Previous registrations include WM Financial Services in Irvine, California (1999); Gerwin Stinziano Securities in Thousand Oaks, California (1994-1997); and Travco Financial Group in Westlake Village, California (1993-1994). He is currently not registered with any state or firm. Continue Reading

The US Securities and Exchange Commission (SEC) today announced fraud charges against former Pennsylvania-based Edward Jones broker Bernard Thompson. The securities and investment fraud law firm is interested in hearing from investors who have complaints regarding Mr. Thompson (CRD# 2010184).

Bernard Thompson has spent 24 years in the securities industry and was most recently registered with Edward Jones in Indiana, Pennsylvania (2006-2014). Previous registrations include Beaconsfield Financial Services in Indiana, Pennsylvania (1993-2006); North American Management in Sioux Falls, South Dakota (1991-1993); and First American National Securities in Duluth, Georgia (1989-1990). He is currently not licensed to act as a broker, nor registered with any state or firm. Continue Reading