InEnTec Inc., the Bend, Oregon-based plasma-gasification technology company (formerly known as InEnTec LLC and Integrated Environmental Technologies LLC), filed for...
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Reed Smith: Did Merrill Lynch Advisor Misappropriate Funds?
A recent investor complaint against Houston, Texas financial advisor Reed Smith (CRD# 2708938) alleges that he misappropriated customer funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Aaron Graham: AG Financial Advisor Discloses $1.95mm Settlement
Salt Lake City financial advisor Aaron Graham (CRD# 3167246) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with United Planners’ Financial Services and an investment advisor with AG Financial.
Andrew LaForce: $138K Complaint Against Northwestern Advisor
Fort Myers, Florida financial advisor Andrew LaForce (CRD# 5785709) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.
Dan Meader: Trinity Denies $400K Complaint Against Advisor
A recent, denied investor complaint against Southlake, Texas financial advisor Dan Meader (CRD# 4789581) alleged that his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities and an investment advisor with Trinity Investors.
Maximilian Kort: Arete, Ex-UBS Advisor Faces $1mm Complaint
Chicago financial advisor Maximilian Kort (CRD# 5376727) recently received an investor complaint alleging that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former UBS Financial Services broker is currently registered as an investment advisor with Arete Wealth Advisors.
Renee Cohen: BlackLines Advisor Resigned from Northwestern
Los Angeles financial advisor Renee Cohen (CRD# 6447089) recently resigned from Northwestern Mutual Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records that while she is no longer registered as a broker, she is registered as an investment advisor with BlackLines Financial.
Abtin Bashirazami: $241K Complaint Against TransAmerica Advisor
Columbus, Ohio financial advisor Abtin Bashirazami (CRD# 7526170) recently received an investor complaint alleging that his conduct resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker with TransAmerica Financial Advisors.
Brian Davis: Why Was UBS Advisor Fired from Morgan Stanley?
Greenville, Delaware financial advisor Brian Davis (CRD# 1269412) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, having previously been registered with Morgan Stanley.
Gene King: Easement Complaint Against Ex-Sequence Advisor
Mt. Pleasant, South Carolina financial advisor Gene King (CRD# 1542794) recently received an investor complaint alleging misconduct in connection with a conservation easement investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Exemplar Capital.
Tom Baer: $135K Complaint Against TBaer Wealth Advisor
Erie, Pennsylvania financial advisor Tom Baer (CRD# 1663820) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, as well as a representative of TBaer Wealth Management.
