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Author Archives: chase@carlson-law.com

Carlson Law Files Claim Involving Sam Jacobs of Key Investment Group

By Chase Carlson |

Carlson Law recently filed a case on behalf of an investor against LaSalle St. Securities involving the actions of Winter Park, Florida-based financial advisor Sam Jacobs (CRD# 2243093). Jacobs is a broker registered with LaSalle St. Securities and President of Key Investment Group.

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Ariel Rivero: FINRA Sanctions Former Jeffries Advisor

By Chase Carlson |

Coral Gables, Florida financial advisor Ariel Rivero (CRD# 4236679) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Insigneo Securities and an investment advisor with Insigneo Advisory Services. He was previously registered with Jeffries.

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Joshua Cox: $80K Complaint Against Everest Wealth Advisor

By Chase Carlson |

Greenwood Village, Colorado financial advisor Joshua Cox (CRD# 6137037) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Everest Wealth Advisors.

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Paul Snow: NewEdge Advisor Resigned from Raymond James

By Chase Carlson |

Former Covington, Louisiana broker Paul Snow (CRD# 2963153) recently resigned from Raymond James Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as an investment advisor with NewEdge Advisors, doing business as Snow Financial Group.

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Russell Andersen: Northern Trust Advisor Faces $5mm Complaint

By Chase Carlson |

Bonita Springs, Florida financial advisor Russell Andersen (CRD# 2288717) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Northern Trust Securities.

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John Yin: Ex-Cetera Advisor Faces $500k-$1mm Complaint

By Chase Carlson |

City of Industry, California financial advisor John Yin (CRD# 3249933) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Packerland Brokerage Services, having previously been registered with Cetera Investment Services.

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Devin Garofalo: $216K Complaint Against Colonial River Advisor

By Chase Carlson |

Midlothian, Virginia financial advisor Devin Garofalo (CRD# 4853435) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with LPL Financial and an investment advisor with Colonial River Wealth Management.

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Derek Martin: 56 Capital Denies $300K Complaint Against Advisor

By Chase Carlson |

Colorado Springs financial advisor Derek Martin (CRD# 6059805) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual broker is currently registered as an investment advisor with 56 Capital Partners.

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Ran Regev: $150K Complaint Against Regev Financial Advisor

By Chase Carlson |

Fort Lauderdale financial advisor Ran Regev (CRD# 5469190) allegedly made unsuitable trades, according to a recent six-figure investor complaint. Financial Industry Regulatory Authority records show that the Osaic Wealth broker and investment advisor is also a representative of Regev Financial Services.

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David Fields: $400K Complaint Against Pacific Tides Advisor Denied

By Chase Carlson |

A recent, denied investor complaint against Solana Beach, California financial advisor David Fields (CRD# 1953457) alleged that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with United Planners’ Financial Services, doing business as Pacific Tides Wealth Management.

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Latest Blog Posts
  • Carlson Law Files Claim Involving Sam Jacobs of Key Investment Group

    Carlson Law recently filed a case on behalf of an investor against LaSalle St. Securities involving the actions of Winter...

    Read More
  • Ariel Rivero: FINRA Sanctions Former Jeffries Advisor

    Coral Gables, Florida financial advisor Ariel Rivero (CRD# 4236679) was recently sanctioned and suspended in connection with alleged rule violations....

    Read More
  • Joshua Cox: $80K Complaint Against Everest Wealth Advisor

    Greenwood Village, Colorado financial advisor Joshua Cox (CRD# 6137037) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...

    Read More
  • Paul Snow: NewEdge Advisor Resigned from Raymond James

    Former Covington, Louisiana broker Paul Snow (CRD# 2963153) recently resigned from Raymond James Financial Services in connection with alleged rule...

    Read More
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