Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Kent Herring: $750K Complaint Against Ex-Voya Advisor
Gulf Breeze, Florida financial advisor Kent Herring (CRD# 5417262) is involved in an investor complaint alleging damages of more than $700,000. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Cambridge Investment Research, having previously been registered with Voya Financial Advisors.
Arete Wealth Advisor Justin Mackie Faces $247K Investor Complaint
Henderson, Nevada financial advisor Justin Mackie (CRD# 4736154) allegedly provided unsuitable advice, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Arete Wealth Management.
Darrach Bourke: Bond Complaint Against Bourke Investment Advisor
Mill Valley financial advisor Darrach Bourke (CRD# 5255413) has received investor complaints alleging he breached his fiduciary duty, executed unauthorized trades, and engaged in other forms of conduct. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Emerson Equity, doing business as Bourke Investment… Read More »
Greenberg Financial’s David Sherwood Faces GWG L Bond Complaint
Tucson financial advisor David Sherwood (CRD# 1024893) is involved in an investor complaint stemming from the allegedly negligent sale of a GWG L bond. Financial Industry Regulatory Authority records show that he is registered as a broker with Greenberg Financial Group.
Tom Endersbe: SagePoint Denies $70K REIT/BDC Complaint
St. Louis Park, Minnesota financial advisor Tom Endersbe (CRD# 1407028) allegedly recommended an unsuitable real estate investment trust, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with SagePoint Financial, as well as the owner of Comprehensive Financial Solutions.
SEC Fraud Complaint Against Ryan Reaume, Calibre Consulting Advisor
Leesburg, Virginia financial advisor Ryan Reaume (CRD# 2684692) was recently named in a civil action by the Securities and Exchange Commission alleging that he orchestrated a fraudulent investment scheme. Records provided by the SEC and the Financial Industry Regulatory Authority indicate that he is currently registered as an investment advisor with Calibre Consulting Group.
Jason Doviak: $1 Million Complaint Against Park Avenue Advisor
Red Bank financial advisor Jason Doviak (CRD# 4266648) is involved in an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Park Avenue Securities.
April Wilson: Royal Alliance Denies REIT/BDC Complaint
A recent investor complaint against Bellevue, Washington (CRD# 4515321) financial advisor alleged that she provided poor investment advice. Records provided by the Financial Industry Regulatory Authority indicate that she is registered as a broker and an investment advisor with Royal Alliance Associates, doing business as Elevate Planning Partners.
Kyle Brooks: Allegations of Misappropriated Funds From Youth Sports
Tulsa, Oklahoma financial advisor Kyle Brooks (CRD# 4640829) was recently terminated from Edward Jones in connection with alleged rule violations. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with State Farm VP Management Corporation.
Jack Terzi: Churning Complaint Against Ex-Aegis Advisor
Levittown financial advisor Jack Terzi (CRD# 7008502) recently received an investor complaint alleging he engaged in unauthorized trading and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, having previously been registered with Aegis Capital Corporation.
