Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
Read MoreAuthor Archives: chase@carlson-law.com
Merriam Rink: GWG L Bond Complaint Against Ausdal Advisor
A recent investor complaint against Bettendorf, Iowa financial advisor Merriam Rink (CRD# 1380705) alleges that she engaged in various forms of misconduct relating to GWG L bond recommendations, resulting in losses. Financial Industry Regulatory Authority records show that she is currently a broker and an investment advisor with Ausdal Financial Partners.
Mike Mirich: $50K-$100K Complaint Against Income Pros Advisor
Escondido, California financial advisor Mike Mirich (CRD# 1979328) is involved in an investor complaint alleging his investment advice resulted in damages as high as $100,000. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Center Street Securities, doing business as Income Pros Financial… Read More »
Charles Shields Jr.: Why Did FINRA Investigate Wells Fargo Advisor?
A recent investigation against Wayne, Pennsylvania financial advisor Charles Shields Jr. (CRD# 2067177) concerned allegations that he engaged in unauthorized trading. Financial Industry Regulatory Authority records show that the Wells Fargo Clearing Services broker and investment advisor has also received an investor complaint that reached a six-figure settlement.
Michael Di Pietro: Centaurus Advisor Denies $100K Complaint
A recent investor complaint against Pasadena financial advisor Michael Di Pietro (CRD# 2811047) alleges that he provided misleading information regarding high-risk investments. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Centaurus Financial.
Jack Yvars: Capital Advisory President Faces $250K Complaint
A recent investor complaint against Concord, New Hampshire financial advisor Jack Yvars (CRD# 6377111) details allegations concerning an investment in mutual funds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Royal Alliance Associates, as well as the president of Capital Advisory Group.
Scott Kemps: $400K Complaint Against Spectrum Capital Advisor
Melbourne, Florida financial advisor Scott Kemps (CRD# 1849069) allegedly recommended unsuitable investments that resulted in six-figure losses, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Great Point Capital, an investment advisor with BlueSky Investment Advisers, and the president of Spectrum Capital… Read More »
Tim Thelen: $1mm GWG Complaint Against Ex-Aeon Capital Advisor
A recent investor complaint against San Clemente financial advisor Tim Thelen (CRD# 1924966) alleges that he engaged in elder abuse and other forms of misconduct in connection with GWG L bonds and other products. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with American Trust… Read More »
Ex-JP Morgan Advisor Matt Kutcher Faces Investor Complaint
Palm Beach financial advisor Matt Kutcher (CRD# 2456469) is involved in an investor complaint alleging he failed to follow a customer’s instructions. Financial Industry Regulatory Authority records show that the former JP Morgan Securities representative is currently a broker and an investment advisor with Wells Fargo Clearing Services.
Christie Caliva: Commonwealth Advisor Faces Franklin Square Complaint
San Diego financial advisor Christie Caliva (CRD# 5527773) is involved in an investor complaint stemming from an investment in Franklin Square Investment Corp. III. Records provided by the Financial Industry Regulatory Authority show that she is currently registered as a broker and an investment advisor with Commonwealth Financial Network.
Glenn Guilbault Jr.: Nola Wealth Advisor Faces Investor Complaint
A recent investor complaint against Metairie, Louisiana financial advisor Glenn Guilbault Jr. (CRD# 4309287) alleges that his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker with Cetera Advisors, doing business as Nola Wealth Management.
