Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreAuthor Archives: chase@carlson-law.com
Michael Vassalotti: $974K Complaint Against UBS Advisor
West Palm Beach financial advisor Michael Vassalotti (CRD# 1461475) recently received an investor complaint alleging that his advice resulted in damages exceeding $900,000. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor at UBS Financial Services, whose website describes him as a member of the… Read More »
LPL Advisor Barry Buchholz Faces $131K Annuity Complaint
Cedar Rapids financial advisor Barry Buchholz (CRD# 1583582) is involved in an investor complaint alleging that a variable annuity investment recommendation led to six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with LPL Financial, doing business as Diamond Capital.
Scott Oliphant: $100K REIT Complaint Against Integrity Wealth Advisor
Columbus, Indiana financial advisor Scott Oliphant (CRD# 4551455) allegedly recommended an unsuitable real estate investment trust (REIT), according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that the Cetera Advisors representative is the owner and president of Integrity Wealth Management.
Capital Defender’s Elio Chiarelli Receives GWG Complaint
Gainesville financial advisor Elio Chiarelli (CRD# 5824081) is involved in an investor complaint relating to an investment in GWG L bonds. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with IFP Securities and an investment advisor with Bison Wealth, doing business as Capital Defender Advisors.
Ellen Zimmermann: MML Advisor Faces Annuity Complaint
Southfield, Michigan financial advisor Ellen Zimmermann (CRD# 2574244) allegedly engaged in misconduct relating to variable annuity products, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker with MML Investors Services.
Michael Raineri: $135K Complaint Against Raineri Financial Advisor
A recent investor complaint against Seattle financial advisor Michael Raineri (CRD# 4817558) alleges that his conduct resulted in damages of more than $100,000. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Securities America, doing business as Raineri Financial.
Davis Advisory Group’s Pamela Espinosa: $1 Million Complaint
Albuquerque financial advisor Pamela Espinosa (CRD# 5865661) is involved in an investor complaint alleging that her recommendations led to seven-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Kestra Investment Services and Kestra Advisory Services, doing business as Davis Advisory Group.
Kevin & Sean Kane: SEC Charges Ex-Waddell & Reed Advisors
The Securities and Exchange Commission recently filed fraud charges against York, Pennsylvania-based advisors Kevin Kane (CRD# 2269484) and Sean Kane (CRD# 5778281). Financial Industry Regulatory Authority records indicate that the father-and-son advisory team are currently registered with Cambridge Investment Research and were formerly registered with Waddell & Reed. The latter firm terminated their registrations… Read More »
Morgan Stanley’s Frank AuYeung Faces Structured Product Complaint
A recent investor complaint against Cupertino financial advisor Frank AuYeung (CRD# 2256932) alleges excessive trading of structured products. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Morgan Stanley, whose website describes him as a member of the AuYeung Wealth Management Group.
Michelle Perres: $100K-$500K Complaint Against Aegis Advisor
A recent investor complaint against Melville financial advisor Michelle Perres (CRD# 4350152) alleges that her conduct resulted in damages as high as $500,000. Financial Industry Regulatory Authority records indicate that she is a broker and an investment advisor with Aegis Capital Corporation.
