Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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B. Riley Advisor Cary Levine: Clients Invested $700+ in GWG
Records filed with a US bankruptcy court show that at least seven current or former clients of B. Riley Wealth Management advisor Cary Levine (CRD# 3127758) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $700,000. Financial Industry Regulatory Authority records show… Read More »
Geoff Wolterstorff: Why Is SEC Investigating LifeMark Advisor?
Eau Claire, Wisconsin financial advisor Geoff Wolterstorff (CRD# 2711805) is the subject of an investigation by the Securities and Exchange Commission. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with LifeMark Securities Corporation, having previously been registered with Foresters Equity Services.
Nick Owoyemi: Newbridge Advisor’s Client Invested in GWG
Records filed with a US bankruptcy court show that at least one former client of Newbridge Financial Services advisor Nick Owoyemi (CRD# 1822177) is listed as a creditor for an investments in a GWG Holdings L bonds. The records describe an investment of $80,000. Financial Industry Regulatory Authority records show that Mr. Owoyemi is… Read More »
Suzanne Powell: Meridian Advisor’s Clients Are GWG Creditors
At least 22 current or former customers of Meridian Wealth Management advisor Suzanne Powell (CRD# 4752270) 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 $2.5 million. Securities and Exchange Commission records show that… Read More »
John Nole: Paulson Advisor’s Clients Listed as GWG Creditors
Records filed with a US bankruptcy court disclose that at least six current or former customers of Paulson Investment Company advisor John Nole (CRD# 1609191) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $1 million. Records maintained by the Financial Industry… Read More »
Oppenheimer Advisor Guy Presutti Faces $1.45mm Fraud Complaint
Boston financial advisor Guy Presutti (CRD# 1196621) recently received an investor complaint alleging fraud, breach of fiduciary duty, unsuitable investment recommendations, and other forms of misconduct. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Oppenheimer & Company.
Jason Walsh: $3.7 Million Complaint Against Ex-Network 1 Advisor
Hauppauge, New York financial advisor Jason Walsh (CRD# 5758243) is involved in an investor complaint alleging damages of more than $3 million. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker with PHX Financial, having previously been registered with Network 1 Financial Securities and Joseph Gunnar & Company.
Colin Mansfield: $300K Complaint Against Global Wealth Advisor
A recent investor complaint against San Jose financial advisor Colin Mansfield (CRD# 4643275) alleges six-figure damages resulting from misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with DFPG Investments, doing business as Global Wealth Partners.
Samuel Sutterfield: Elevate Wealth Advisor Denies $100K Bond Complaint
Centaurus Financial advisor Samuel Sutterfield (CRD# 5988560) is involved in an investor complaint alleging $100,000 damages stemming from investments in corporate bonds and real estate. Publicly available records filed with a US bankruptcy court in Texas, meanwhile, list at least one current or former client of his as creditor for an investment in a… Read More »
Nate Goldenberg: NextWave Advisor’s Client Listed as GWG Creditor
Records filed with a US bankruptcy court disclose that at least one current or former client of NextWave Financial advisor Nate Goldenberg (CRD# 2154719) is listed as creditor for an investment in GWG Holdings preferred stock. The records describe an investment of $205,000. Securities and Exchange Commission records show that Mr. Goldenberg is currently… Read More »
