Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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PHX Advisor Mark Hermes: Churning Complaint Denied by Firm
Fort Lauderdale financial advisor Mark Hermes (CRD# 4200965) recently received a denied investor complaint alleging that his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with PHX Financial, having previously been registered with Joseph Gunnar & Company.
Sterling Hirsch: GWG Complaint Against Sterling First Advisor
A recent investor complaint against Yucaipa, California financial advisor Sterling Hirsch (CRD# 4867105) alleges misconduct connected to a GWG L bond investment. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Infinity Financial Services, doing business as Sterling First Financial.
Matt Shaughnessy: $175K UIT Complaint Against Ameriprise Advisor
Henderson, Nevada financial advisor Matt Shaughnessy (CRD# 2457058) has received multiple investor complaints alleging his conduct resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with UBS Financial Services.
Tony Jacobi: American Equity Advisor Faces GWG Complaint
New Albany, Indiana financial advisor Tony Jacobi (CRD# 1217509) is involved in an investor complaint alleging that an investment in a GWG L bond resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker registered with American Equity Investment Corporation.
Hans Sharma: REIT Complaint Against Sharma Associates Advisor
Conshohocken financial advisor Hans Sharma (CRD# 1920833) recently received an investor complaint alleging he recommended unsuitable real estate investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and an investment advisor with Sharma Associates.
Carl Williams: $500K Complaint Against River City Wealth Advisor
A recent investor complaint against Peoria financial advisor Carl Williams (CRD# 1721736) alleges that his investment advice resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor registered with LPL Financial, doing business as River City Wealth Advisors.
J. Graydon Coghlan: $50K-$100K REIT Complaint Against CFG Advisor
San Diego financial advisor J. Graydon Coghlan (CRD# 2281065) is involved in an investor complaint stemming from an investment in a non-traded REIT. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Securities America. He is also the President and CEO of Coghlan Financial Group.
Rachel Heege: REIT Complaint Against Ex-National Securities Advisor
A new investor complaint filed against Lake Ronkonkoma, New York financial advisor Rachel Heege (CRD# 4834840) alleges that she engaged in misconduct relating to a real estate investment trust product. Records provided by the Financial Industry Regulatory Authority indicate that she is currently registered as a broker and an investment advisor with B. Riley… Read More »
Ryan Sherer: $448K Complaint Against Sherer Group Advisor
Los Gatos financial advisor Ryan Sherer (CRD# 5952617) is involved in an investor complaint alleging he violated securities industry laws and rules, resulting in losses exceeding $400,000. Records maintained by the Financial Industry Regulatory Authority indicate that he is registered as a broker and an investment advisor with Emerson Equity, doing business as The… Read More »
Michael Rosenmayer: Oppenheimer Denies Complaint Against Advisor
Los Angeles financial advisor Michael Rosenmayer (CRD# 2352488) has been involved in numerous investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and as an investment advisor with Oppenheimer & Company.
