Westlake, Ohio financial advisor Steven Rini (CRD# 4255247) recently received an investor complaint alleging that his advice resulted in six-figure...
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Eric Davidson: Aegis Denies $300K Complaint Against Portland Advisor
Portland, Oregon financial advisor Eric Davidson (CRD# 2731195) allegedly recommended unsuitable investments, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Aegis Capital, having previously been registered with JHS Capital Advisors.
SEC Charges Matthew Bruderman, Bruderman Asset Management
The Securities and Exchange Commission (SEC) has settled charges against advisory firm Bruderman Asset Management and its principal Matthew Bruderman (CRD# 2210472), according to a press release issued on September 26, 2023. The charges concerned allegations that Mr. Bruderman and his firm failed to disclose “the misuse of proceeds raised from investment advisory clients”… Read More »
Kelly Johnston & Rick Diamond: Fidelity Advisors Face $25mm Complaint
Covington, Kentucky financial advisor Kelly Johnston (CRD# 5001042) and Fort Lauderdale, Florida advisor Rick Diamond (CRD# 1602991) recently received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records show that each is a broker and an investment advisor with Fidelity Brokerage Services and Fidelity Personal and Workplace Advisors, respectively.
Chris Kirkland & Kevin Kelly: Legacy Advisors Face 6-Figure Complaints
Recent investor complaints against Atlanta financial advisors Chris Kirkland (CRD# 5602044) and Kevin Kelly (CRD# 2293119) allege that they recommended unsuitable investments, resulting in six-figure damages. Financial Industry Regulatory Authority records show that each is registered as a broker and an investment advisor with Avantax, doing business as Legacy Capital Advisors.
Andrew Maynerich: FINRA Suspends Ex-LPL Advisor
Virden, Illinois financial advisor Andrew Maynerich (CRD# 5912401) was recently sanctioned in connection with allegations he improperly signed documents on behalf of customers. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker, who did business as Maynerich Financial, is registered as an investment advisor with ICA… Read More »
CoinFund Liquid Opportunities LP Losses: Investors May Have Options
In July 2023, US-based cryptocurrency investment firm and registered investment adviser CoinFund announced that it had closed its $158 million Seed IV Fund LP. According to a press release, the fund “was backed by a series of institutional investors, family offices, and high-net-worth individuals,” surpassing CoinFund’s initial goal of $125 million, and will reportedly… Read More »
Elba Nogueras: FINRA Suspends Ex-First Southern Advisor
Former Guaynabo, Puerto Rico financial advisor Elba Nogueras (CRD# 4459340) has been involved involved in multiple investor complaints involving Puerto Rico closed-end funds. Financial Industry Regulatory Authority records show that she was registered as a broker with First Southern representative, while an AdvisorHub report states that FINRA sanctioned her over alleged rule violations.
Daniel Snover: PMV Advisor Faces $383K Complaint
Addison, Texas financial advisor Daniel Snover (CRD# 5161189) recently received an investor complaint alleging his conduct resulted in losses exceeding $300,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Fig Group broker is currently an investment advisor with PMV Capital Advisers.
Jennifer Basey: $75K Complaint Against Stifel Nicolaus Advisor
A recent investor complaint against Fort Myers financial advisor Jennifer Basey (CRD# 4730054) alleges that her advice resulted in losses. Financial Industry Regulatory Authority records show that the Stifel Nicolaus & Company broker and investment advisor has been sanctioned by FINRA in connection with alleged rule violations.
Mike Hensley: $100K Complaint Against Ex-Triad Advisor
Raleigh, North Carolina financial advisor Mike Hensley (CRD# 4052660) allegedly made inadequate disclosures regarding an investment he recommended. Financial Industry Regulatory Authority records show that the former Triad Advisors broker is currently an investment advisor with Guardian Wealth Advisors.
