At least one current or former customer of Centaurus Financial advisor Jonathan Penaloza (CRD# 6929021) is listed as creditor for an...
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Jonathan Penaloza: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Jonathan Penaloza (CRD# 6929021) is listed as creditor for an investment in GWG L Bond, according to records filed with a US bankruptcy court in Texas. These records describe an investments of $130,000. Financial Industry Regulatory Authority records show that Mr. Penaloza is registered… Read More »
Vincent Pereira: Did Alexander Capital Advisor Recommend GWG L Bonds?
At least one current or former client of Alexander Capital advisor Vincent Pereira (CRD# 2933058) is listed as creditor for an investment in GWG L Bond, according to records filed with a US bankruptcy court. The records describe investments totaling $100. Financial Industry Regulatory Authority records show that Mr. Pereira is registered as a broker… Read More »
David Escarcega: Center Street Advisor Faces GWG L Bond Complaints
At least two current or former customers of Center Street Securities advisor David Escarcega (CRD# 4367584) are listed as creditors for investment in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court. These records show that the investments totaling more than $300,000. Financial Industry Regulatory Authority records show… Read More »
Cliff Shirah: Oil & Gas Complaint Against Appalachian Advisor
A recent investor complaint against Blue Ridge, Georgia financial advisor Cliff Shirah (CRD# 2767896) alleges that he made an unsuitable investment recommendation. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Cabot Lodge Securities and an investment advisor with CL Wealth Management, doing business as Appalachian Asset Management.
$100K Complaint Against Ex-Western International Advisor James Mayes
Azusa, California financial advisor James Mayes (CRD# 2879995) recently received an investor complaint alleging misconduct related to corporate bond investments. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Alexander Capital, having previously been registered with Western International Securities.
Van Washington: REIT Complaint Against UPSTREAM Advisor
The Woodlands, Texas financial advisor Van Washington (CRD# 4651656) allegedly made misrepresentations regarding REIT products, according to a recent, denied investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker with Sigma Financial Corporation and an investment advisor with SPC, doing business as UPSTREAM Investment Partners.
Ronald Burkard: Centaurus Advisor’s Clients Invested $500K+ in GWG
At least four current or former customers of Centaurus Financial advisor Ronald Burkard (CRD# 1017607) are listed as creditors for investment in L Bonds and/or preferred stock issued by GWG Holdings, according to records filed with a US bankruptcy court. The records describe investments totaling more than $500,000. Financial Industry Regulatory Authority records show… Read More »
Inflection Point Advisor Aaron Klemm: Clients Invested in L Bonds
Records filed with a US bankruptcy court show that at least four current or former customers of Independent Financial Partners advisor Aaron Klemm (CRD# 5621542) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $400,000. Financial Industry Regulatory Authority records show that… Read More »
Aleksandr Dyo: Ex-Profectus Wealth Advisor Faces Investor Complaint
Sacramento financial advisor Aleksandr Dyo (CRD# 4660824) is involved in an investor complaint alleging he engaged in various forms of misconduct relating to pension funds. Records maintained by the Securities and Exchange Commission indicate that he is currently an investment advisor with Smart Portfolio and Managing Director of Wealth Excel, having previously been registered… Read More »
David Lerner Advisor Joseph Aspelund Denies SOAEX Complaint
A recent investor complaint against White Plains financial advisor Joseph Aspelund (CRD# 6006335) details allegations regarding an investment in SOAEX. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with David Lerner Associates.
