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Author Archives: chase@carlson-law.com

RBC Advisor Martin Klein: Complaints Allege $34 Million Losses

By Chase Carlson |

Pending investor complaints against Newport Beach financial advisor Martin Klein (CRD# 1778613) allege that his investment advice resulted in damages of more than $30 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with RBC Capital Markets.

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Kingswood Advisor Brady Fuchs Receives Oil & Gas Complaint

By Chase Carlson |

San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.

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Bill Sines: New Complaint Against Senior Financial Services Advisor

By Chase Carlson |

Multiple investor complaints against Seminole, Florida financial advisor Bill Sines (CRD# 2190586) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Berthel Fisher & Company Financial Services, doing business as Senior Financial Services.

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Jason Rossi: $203K Complaint Against Aegis Capital Broker

By Chase Carlson |

Melville, New York financial advisor Jason Rossi (CRD# 4384426) allegedly churned investments and made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that the Aegis Capital broker has also been in involved in an investor complaint that reached a settlement.

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Lone Star Advisor Charles Bryant: $200K Suitability Complaint

By Chase Carlson |

Sarasota financial advisor Charles Bryant (CRD# 5346404) is involved in an investor complaint alleging he provided unsuitable investment advice that resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with LPL Financial, doing business as Lone Star Wealth Management.

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FINRA Sanctions Ahmed Gheith, Ex-Noble Capital Markets Advisor

By Chase Carlson |

Securities regulators recently sanctioned Staten Island financial advisor Ahmed Gheith (CRD# 5783951) in connection with allegations he improperly solicited private placement investments. Financial Industry Regulatory Authority records show that he is a broker with Ceros Financial Services and was formerly registered with Noble Capital Markets.

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Ex-Oppenheimer Advisor Iris Israel: $36 Million Horizon Fund Award

By Chase Carlson |

More than two dozen complaints against former Atlanta broker Iris Israel (CRD# 1547363) allege that she participated in a Ponzi scheme, with one such complaint resulting in a $36 million arbitration award. Financial Industry Regulatory Authority records show that she was formerly a representative of Oppenheimer & Company and is currently a representative of… Read More »

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Sandy Steinberg: Bond Complaint Against Boca Raton AGP Advisor

By Chase Carlson |

A recent investor complaint against Boca Raton financial advisor Sandy Steinberg (CRD# 834205) alleges that his investment advice resulted in damages exceeding $350,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with AGP/Alliance Global Partners.

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Chris Dukes: GWG L Bond Complaint Against Dukes Financial Advisor

By Chase Carlson |

An investor complaint against Thousand Oaks, California financial advisor Chris Dukes (CRD# 4712873) alleges that he recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with WestPark Capital, doing business as Dukes Financial and Insurance Services.

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Jon Rice: ETF Complaint Against Raymond James Advisor

By Chase Carlson |

Louisville, Kentucky and George Island, Florida financial advisor Jon Rice (CRD# 4961184) allegedly recommended unsuitable investments, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investor advisor with Raymond James & Associates.

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  • RBC Advisor Martin Klein: Complaints Allege $34 Million Losses

    Pending investor complaints against Newport Beach financial advisor Martin Klein (CRD# 1778613) allege that his investment advice resulted in damages...

    Read More
  • Kingswood Advisor Brady Fuchs Receives Oil & Gas Complaint

    San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure...

    Read More
  • Bill Sines: New Complaint Against Senior Financial Services Advisor

    Multiple investor complaints against Seminole, Florida financial advisor Bill Sines (CRD# 2190586) allege that he recommended unsuitable investments. Financial Industry...

    Read More
  • Jason Rossi: $203K Complaint Against Aegis Capital Broker

    Melville, New York financial advisor Jason Rossi (CRD# 4384426) allegedly churned investments and made unauthorized trades, according to a recent...

    Read More
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