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Author Archives: chase@carlson-law.com

Stephen Marek: $112K Complaint Against American Pride Advisor

By Chase Carlson |

Uniondale, New York financial advisor Stephen Marek (CRD# 2458841) recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Joseph Gunnar & Company, doing business as American Pride Wealth Management.

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Wayne Hill: Strategic Asset Management Advisor Has $277K GWG Complaint

By Chase Carlson |

A recent investor complaint against Lane, South Carolina financial advisor Wayne Hill (CRD# 1692976) details allegations regarding investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Capital Investment Group, doing business as Strategic Asset Management Consultants.

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Bernie Adair: Investor Alleges Jupiter Advisor Misappropriated Funds

By Chase Carlson |

Merrill Lynch financial advisor Bernie Adair (CRD# 1535429) allegedly misappropriated investor funds, according to a recent complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Jupiter, Florida. 

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Cash Freeman: $1 Million Complaint Against Fort Collins Advisor

By Chase Carlson |

RBC Capital Markets financial advisor Cash Freeman (CRD# 6374508) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Fort Collins, Colorado.

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Karen Geiger: Former Ohio Advisor Has $1 Million GWG L Bond Complaint

By Chase Carlson |

Cape Securities financial advisor Karen Geiger (CRD# 1456604) recently received an investor complaint alleging more than $1 million in damages connected to a GWG L bonds investment. Financial Industry Regulatory Authority records show that she is registered as a broker in McDonough, Georgia, having formerly been registered with Wall Street Securities in Akron, Ohio… Read More »

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Michael Ning: $1.7 Million GWG Complaint Against Scottsdale Advisor

By Chase Carlson |

Arque Capital financial advisor Michael Ning (CRD# 3088956) recently received a seven-figure investor complaint concerning investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.

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Neil Nissen: $800K Complaint Against Melville MML Advisor

By Chase Carlson |

A recent investor complaint against Melville, New York financial advisor Neil Nissen (CRD# 3088956) alleges six-figure damages stemming from alleged forgeries and misrepresentations of material facts. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with MML Investors Services.

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Justin Dieter: $104K Complaint Against Spartan Capital Advisor

By Chase Carlson |

Garden City, New York financial advisor (CRD# 5225102) has received multiple investor complaints alleging that his investment recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Spartan Capital Securities, having previously affiliated with Allied Millennial Partners and Aegis Capital.

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James Cavalier: REIT Complaint Against Ex-Ameriprise Advisor

By Chase Carlson |

Former New Brighton, Minnesota financial advisor James Cavalier (CRD# 1579594) recently received an investor complaint alleging misconduct related to REIT and annuity investments. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services broker and investment advisor is not currently registered with any FINRA member firm.

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Peter Ferraro: $75K Complaint Against Moloney Securities Advisor

By Chase Carlson |

Manchester, Missouri financial advisor Peter Ferraro (CRD# 2386025) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Moloney Securities and that he has been sanctioned by securities regulators.

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  • Stephen Marek: $112K Complaint Against American Pride Advisor

    Uniondale, New York financial advisor Stephen Marek (CRD# 2458841) recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory...

    Read More
  • Wayne Hill: Strategic Asset Management Advisor Has $277K GWG Complaint

    A recent investor complaint against Lane, South Carolina financial advisor Wayne Hill (CRD# 1692976) details allegations regarding investments in GWG...

    Read More
  • Bernie Adair: Investor Alleges Jupiter Advisor Misappropriated Funds

    Merrill Lynch financial advisor Bernie Adair (CRD# 1535429) allegedly misappropriated investor funds, according to a recent complaint against him. Financial...

    Read More
  • Cash Freeman: $1 Million Complaint Against Fort Collins Advisor

    RBC Capital Markets financial advisor Cash Freeman (CRD# 6374508) recently received an investor complaint alleging that his conduct resulted in...

    Read More
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