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
Did Fortress Wealth Advisor Steven Skipper Misrepresent Investment?
A recent investor complaint against Murfreesboro, Tennessee financial advisor Steven Skipper (CRD# 4265009) alleges that he made misrepresentations that resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors, doing business as Fortress Wealth Management. Mr. Skipper’s BrokerCheck report discloses several investor… Read More »
KNR Wealth’s Kevin Richards: $500K Investor Complaint
Laguna Niguel financial advisor Kevin Richards (CRD# 5157291) has received multiple investor complaints alleging his conduct resulted in six-figure losses. Records maintained by the Securities and Exchange Commission indicate that he is an investment advisor with KNR Wealth Management.
Jim Raper: $4 Million Complaint Against WealthForge Advisor
Richmond financial advisor Jim Raper (CRD# 5721253) is involved in an investor dispute alleging $4 million in damages stemming from a real estate offering sponsored by Nelson Partners. Financial Industry Regulatory Authority records show that he is the Chief Compliance Officer at WealthForge Securities. Mr. Raper’s BrokerCheck report discloses two investor complaints. Both filed… Read More »
Blake Rose: $25K Complaint Against Pinnacle Strategies Advisor
Santa Ana, California financial advisor Blake Rose (CRD# 1836176) is involved in an investor complaint alleging his advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Pinnacle Strategies.
Lawrence Barrett: Oil & Gas Complaint Against Barrett Wealth Advisor
A new investor complaint against Orange Village, Ohio financial advisor Lawrence Barrett (CRD# 13429) concerns an oil and gas investment. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Lincoln Financial. According to his website, he is a representative of Barrett Wealth Advisors, which… Read More »
Arete Advisor Dennis Thurman: $100K-$500K GWG L Bond Complaint
Chicago financial advisor Dennis Thurman (CRD# 2342398) allegedly recommended unsuitable GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Arete Wealth Management.
Did B. Riley’s Darren Daye Sell Unsuitable GWG, GPB Investments?
Las Vegas financial advisor Darren Daye (CRD# 3032746) allegedly recommended unsuitable investments in GWG Holdings and GPB Waste Management, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with B. Riley Wealth Management and B. Riley Wealth Advisors, respectively.
Gianluca De Berardinis: New Complaint Against Morgan Stanley Advisor
New York City financial advisor Gianluca De Berardinis (CRD# 4893776) is involved in an investor complaint alleging he provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, whose website indicates that he is a member of the De Berardinis Group.
Monty Cerf: $7 Million Options Overlay Complaint Against UBS Advisor
A pending investor complaint against New York financial advisor Monty Cerf (CRD# 2269462) alleges that he misrepresented and recommended an unsuitable options strategy. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with UBS Financial Services.
UBS Advisor Gerard Costello: $900K Options Overlay Complaint
A recent investor complaint against New York City financial advisor Gerard Costello (CRD# 1551511) alleges that his investment advice concerning an options overlay strategy resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
