Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Mary Ann Best & Jordan Forney: Bernstein & Co. Advisors Face Complaint
Washington, DC financial advisors Mary Ann Best (CRD# 4389355) and Jordan Forney (CRD# 6156849) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently a broker with Sanford C. Bernstein & Company and an investment advisor with AllianceBernstein. Ms. Best’s and Mr. Forney’s… Read More »
Oppenheimer’s Gregory Iglow Faces Capital Trust Bond Complaint
An investor complaint against Los Angeles financial advisor Gregory Iglow (CRD# 2783963) alleges six-figure damages stemming from an investment in Capital Trust Agency Florida Senior Living bonds. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Oppenheimer & Company.
Jeff Peters: Ausdal Advisor Faces GWG Holdings Complaint
A recent investor complaint against Bettendorf, Iowa financial advisor Jeff Peters (CRD# 2580603) details allegations regarding an investment in GWG L bonds. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Ausdal Financial Partners.
Wally Nagle: GWG L Bond Complaint Against Ausdal Advisor
Orland Park, Illinois financial advisor Wally Nagle (CRD# 2208043) allegedly breached his fiduciary duty in connection with an investment in GWG L bonds, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker with Ausdal Financial Partners.
Ex-Concorde Advisor Gary Hughes Receives $150K Fraud Complaint
Hermosa Beach financial advisor Gary Hughes (CRD# 1700976) recently received an investor complaint alleging he committed elder abuse and engaged in other forms of misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Concorde Investment Services broker is currently an investment advisor with Hughes Wealth Management.
Frank Reynolds: Complaint Against Strategic Financial Alliance Broker
Daytona Beach financial advisor Frank Reynolds (CRD# 1366983) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with The Strategic Financial Alliance, doing business as Frank Reynolds & Company.
Thomas Lee: Raymond James Denies $250K Complaint Against Advisor
Rockville, Maryland financial advisor Thomas Lee (CRD# 2807587) received an investor complaint alleging that his conduct resulted in losses of $250,000. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Raymond James Financial Services.
Ron Filoramo: Barred Morgan Stanley Advisor Faces 6-Figure Complaints
Recent investor complaints against Fort Lauderdale financial advisor Ron Filoramo (CRD# 3270398) allege that his conduct resulted in combined damages of more than $800,000. Records maintained by the Financial Industry Regulatory Authority show that he was registered with Morgan Stanley until May 2023, while an industry publication states that he was barred by FINRA… Read More »
Raymond Sardiña: $1.5 Million Complaint Against Raymond James Advisor
Coral Gables financial advisor Raymond Sardiña (CRD# 3068885) allegedly recommended high-risk investments that led to seven-figure losses, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Raymond James & Associates.
Eric Dec: Did Ex-Emerson Equity Advisor Commit Fraud?
Former San Mateo financial advisor Eric Dec (CRD# 2185598) is involved in an investor complaint alleging he engaged in conduct that resulted in damages exceeding $100,000. Records maintained by the Financial Industry Regulatory Authority show that he was most recently registered as a broker with Emerson Equity. Mr. Dec’s BrokerCheck report discloses one investor… Read More »
