Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Jack Nalbandian: Investor Files Bond Complaint Against WIS Advisor
At least two current or former clients of Western International Securities advisor Jack Nalbandian (CRD# 2921246) are listed as creditors for investments in GWG preferred stock, according to records filed with a US bankruptcy court in Texas. These records describe investments totaling more than $150,000. Financial Industry Regulatory Authority records show that Mr. Nalbandian… Read More »
Robert Alvarez: Nola Financial Advisor Faces $500K-$1mm Complaint
At least two current or former customers of International Assets Advisory advisor Robert Alvarez (CRD# 2242198) are listed as creditors for investments in GWG L Bonds, according to records filed with a US bankruptcy court. These records show investments totaling more than $350,000. Financial Industry Regulatory Authority records show that the Metairie, Louisiana advisor… Read More »
Debby Anselmo: Centaurus Advisor’s Client Invested in GWG L Bond
At least one current or former customer of Centaurus Financial advisor Debby Anselmo (CRD# 2640872) is listed as a creditor for an investment in GWG L Bond, according to records filed with a US bankruptcy court in Texas. These records describe an investment of $125,000. Financial Industry Regulatory Authority records show that Ms. Anselmo is… Read More »
Markus Byrd: Did Milestone Advisor Recommend Unsuitable Investment?
A recent investor complaint against Dallas financial advisor Markus Byrd (CRD# 2177376) alleges that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services, doing business as Milestone Group.
Mike Hyser: Johns Creek Advisor Denies Atlas Growth Complaint
Johns Creek, Georgia financial advisor Mike Hyser (CRD# 2322261) recently received an investor complaint regarding an investment in Atlas Growth Partners. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services, doing business as Johns Creek Financial.
Jonathan Penaloza: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Jonathan Penaloza (CRD# 6929021) is listed as creditor for an investment in GWG L Bond, according to records filed with a US bankruptcy court in Texas. These records describe an investments of $130,000. Financial Industry Regulatory Authority records show that Mr. Penaloza is registered… Read More »
Vincent Pereira: Did Alexander Capital Advisor Recommend GWG L Bonds?
At least one current or former client of Alexander Capital advisor Vincent Pereira (CRD# 2933058) is listed as creditor for an investment in GWG L Bond, according to records filed with a US bankruptcy court. The records describe investments totaling $100. Financial Industry Regulatory Authority records show that Mr. Pereira is registered as a broker… Read More »
David Escarcega: Center Street Advisor Faces GWG L Bond Complaints
At least two current or former customers of Center Street Securities advisor David Escarcega (CRD# 4367584) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court. These records describe investments totaling more than $300,000. Financial Industry Regulatory Authority records show that the… Read More »
Cliff Shirah: Oil & Gas Complaint Against Appalachian Advisor
A recent investor complaint against Blue Ridge, Georgia financial advisor Cliff Shirah (CRD# 2767896) alleges that he made an unsuitable investment recommendation. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Cabot Lodge Securities and an investment advisor with CL Wealth Management, doing business as Appalachian Asset Management.
$100K Complaint Against Ex-Western International Advisor James Mayes
Azusa, California financial advisor James Mayes (CRD# 2879995) recently received an investor complaint alleging misconduct related to corporate bond investments. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Alexander Capital, having previously been registered with Western International Securities.
