InEnTec Inc., the Bend, Oregon-based plasma-gasification technology company (formerly known as InEnTec LLC and Integrated Environmental Technologies LLC), filed for...
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Ken Maring: Great Basin Advisor Lands Misrepresentation Complaint
San Diego financial advisor Ken Maring (CRD# 1500005) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered with Concurrent Investment Advisers, doing business as Great Basin Asset Management.
Dan Silverberg: UBS Advisor Faces Investor Complaint
A recent investor complaint against Philadelphia, Pennsylvania financial advisor Dan Silverberg (CRD# 1576956) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Shawn Patt: Complaint Against Ex-RBC Advisor Settles for $92K
Calabasas, California financial advisor Shawn Patt (CRD# 4484268) recently received an investor complaint that reached a settlement exceeding $90,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former RBC Capital Markets broker is currently registered as an investment advisor with Atala Financial.
Dan Ahlrichs: Why Did Upstream Advisor Resign from Northwestern?
Bellevue, Washington financial advisor Dan Ahlrichs (CRD# 5531884) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with LPL Financial, doing business as Upstream Investment Partners.
Trent White: Ex-Vanguard Advisor Received Bond Complaint
Scottsdale, Arizona financial advisor Trent White (CRD# 5592137) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Vanguard broker is currently registered as an investment advisor with Omnia Wealth Management.
Gali Horev: $394K Complaint Against Dempsey Lord Smith Advisor
A recent investor complaint against Irvine, California financial advisor Gali Horev (CRD# 5138931) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, as well as a representative of HN Financial Group.
Kelly Hejtmancik: MML Advisor Lands $91K Complaint
Houston financial advisor Kelly Hejtmancik (CRD# 4535262) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services.
Keyan Keys: Did Edward Jones Advisor Misappropriate Funds?
A recent investor complaint against Childress, Texas financial advisor Keyan Keys (CRD# 6942965) alleges that he misappropriated client funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Paul Murans: $500K Complaint Against Thurston Springer Advisor
Indianapolis financial advisor Paul Murans (CRD# 3266607) recommended an unsuitable senior life settlement portfolio, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Thurston Springer, having previously been registered with UBS Financial Services.
Maria Valido: $100K-$500K Complaint Against Ex-Infinex Advisor
Former Miami, Florida financial advisor Maria Valido (CRD# 6324596) has received multiple investor complaints alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Infinex Investments.
