Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Van Washington: REIT Complaint Against UPSTREAM Advisor
The Woodlands, Texas financial advisor Van Washington (CRD# 4651656) allegedly made misrepresentations regarding REIT products, according to a recent, denied investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker with Sigma Financial Corporation and an investment advisor with SPC, doing business as UPSTREAM Investment Partners.
Ronald Burkard: Centaurus Advisor’s Clients Invested $500K+ in GWG
At least four current or former customers of Centaurus Financial advisor Ronald Burkard (CRD# 1017607) are listed as creditors for investment in L Bonds and/or preferred stock issued by GWG Holdings, according to records filed with a US bankruptcy court. The records describe investments totaling more than $500,000. Financial Industry Regulatory Authority records show… Read More »
Inflection Point Advisor Aaron Klemm: Clients Invested in L Bonds
Records filed with a US bankruptcy court show that at least four current or former customers of Independent Financial Partners advisor Aaron Klemm (CRD# 5621542) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $400,000. Financial Industry Regulatory Authority records show that… Read More »
Aleksandr Dyo: Ex-Profectus Wealth Advisor Faces Investor Complaint
Sacramento financial advisor Aleksandr Dyo (CRD# 4660824) is involved in an investor complaint alleging he engaged in various forms of misconduct relating to pension funds. Records maintained by the Securities and Exchange Commission indicate that he is currently an investment advisor with Smart Portfolio and Managing Director of Wealth Excel, having previously been registered… Read More »
David Lerner Advisor Joseph Aspelund Denies SOAEX Complaint
A recent investor complaint against White Plains financial advisor Joseph Aspelund (CRD# 6006335) details allegations regarding an investment in SOAEX. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with David Lerner Associates.
Dylan Shepherd: Oil & Gas Complaint Against Lincoln Financial Advisor
Salt Lake City financial advisor Dylan Shepherd (CRD# 3255096) allegedly recommended an unsuitable investment, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation.
James Good: ETF Investigation Against ProEquities Advisor
A pending state regulatory action against Camp Hill, Pennsylvania financial advisor James Good (CRD# 2466989) concerns investments in leveraged and inverse exchange-traded funds. Records maintained by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former ProEquities broker is currently registered as an investment advisor with WDC Advisors.
Natalie Fernandez Lee: Did Meridian Advisor Recommend L Bonds?
At least 12 current or former clients of Meridian Wealth Management advisor Natalie Fernandez Lee (CRD# 3176265) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court in Texas. The records describe investments totaling more than $1.8 million. Securities and Exchange Commission… Read More »
Sonny Thapar: Bond Complaint Against TFS Securities Advisor
At least one former customer of TFS Securities advisor Sonny Thapar (CRD# 2699306) is listed as a creditor for a $125,000 investment in GWG L Bonds, according to records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that the West Orange, New Jersey-based advisor has also received multiple investor complaints.
Ken Sledge: Lincoln Advisor Receives $500K Oil & Gas Complaint
A recent investor complaint against Nashville financial advisor Ken Sledge (CRD# 824533) details allegations regarding an oil and gas investment. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation.
