Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
Read MoreAuthor Archives: chase@carlson-law.com
Brian Megibow: Why Did FourStar Advisor Resign from Ameriprise?
Fort Myers, Florida financial advisor Brian Megibow (CRD# 3083501) recently resigned from his former member firm while under review. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services broker is currently registered as an investment advisor with FourStar Wealth Advisors.
Dan Mann: Investor Complaint Against Ex-Kalos Advisor
Las Vegas, Nevada financial advisor Dan Mann (CRD# 4592568) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Cornerstone Wealth Management.
Garry Martin: Champion Forest Advisor Lands $191K Complaint
A recent investor complaint against Houston, Texas financial advisor Garry Martin (CRD# 1362164) alleges that he improperly set up accounts, resulting in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services, doing business as Champion Forest Financial Advisors.
Antonio del Castillo: Fidelity Advisor Faced $129K Complaint
Campbell, California financial advisor Antonio del Castillo (CRD# 4986536) recently received an investor complaint alleging that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors.
Lora Hoff: Wealth Partners Advisor Landed $150K Complaint
A recent, denied investor complaint against Dallas, Texas financial advisor Lora Hoff (CRD# 3175071) alleges that her advice resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as Wealth Partners Alliance.
Aubrey Parker: $140K Complaint Against Wells Fargo Advisor
Stone Mountain, Georgia financial advisor Aubrey Parker (CRD# 2454088) 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 Wells Fargo Clearing Services.
Joseph Eisler: FINRA Investigates LPL Advisor
A recent investigation into Blue Bell, Pennsylvania financial advisor Joseph Eisler (CRD# 2503507) concerns allegations of improper sharing in customer profits. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Gladstone Wealth Partners.
Ed Hill: $175K Complaint Against Hill Wealth Advisor
West End, North Carolina financial advisor Ed Hill (CRD# 6008804) recently received an investor complaint alleging that his advice resulted in damages of more than $150,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Hill Wealth Management.
Ian Greenblatt: $150K Complaint Against Capitol Securities Advisor
A recent investor complaint against Melville, New York financial advisor Ian Greenblatt (CRD# 2276966) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Capitol Securities Management and a representative of Waterview Business Partners.
Ken Nahrstedt: FINRA Suspends LM Kohn Advisor
Rocky River, Ohio financial advisor Ken Nahrstedt (CRD# 2096953) allegedly caused his member firm to maintain inaccurate books and records, according to a recent sanction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LM Kohn & Company.
