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
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.
Mary Murphy: $350K Complaint Against Former Schwab Advisor
A recent investor complaint against former Nashua, New Hampshire financial advisor Mary Murphy (CRD# 5256679) alleges that her advice led to damages of more than $300,000. Records provided by the Financial Industry Regulatory Authority show that she was most recently registered as a broker with Charles Schwab & Company.
Paul Gomperz: Ex-National Securities Advisor Faces GWG Complaint
Liverpool, New York financial advisor Paul Gomperz (CRD# 224867) allegedly recommended an unsuitable GWG L bond, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with IBN Financial Services, having previously been registered with B. Riley Wealth Management and National Securities Corporation.
Loren Olson: $125K Complaint Against Retirement Resources Advisor
Overland Park financial advisor Loren Olson (CRD# 1245513) recently received an investor complaint alleging his conduct resulted in damages of more than $100,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with BB Graham & Company and an investment advisor with Retirement Resources.
West Coast Financial Advisor Debbie Cavanaugh: REIT Complaint
A recent investor complaint against Kalispell, Montana financial advisor Debbie Cavanaugh (CRD# 1268420) alleges that her conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as West Coast Financial.
David B. White: Financial Advisor Faces $200K Bond Complaint
A recent investor complaint against former Bloomfield Hills financial advisor David B. White (CRD# 1382131) alleges that his investment advice resulted in six-figure losses. Records provided by the Financial Industry Regulatory Authority show that he was most recently registered as a broker with Centaurus Financial, doing business as David B. White Financial.
Ted Franse: REIT Complaint Against Franse Financial Advisor
Fair Oaks financial advisor Ted Franse (CRD# 1418012) has been involved in multiple investor complaints alleging unsuitable recommendations and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with NI Advisors, doing business as Franse Financial Advisors.
Morgan Stanley Advisor Scott Schlett Faces $400K Complaint
Scott Schlett (CRD# 2111952), a financial advisor based in Paramus, New Jersey, recently received an investor complaint alleging his conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Morgan Stanley.
Spartan Advisor Michael Russo: Complaints Allege Misconduct
Garden City financial advisor Michael Russo (CRD# 3072489) has been involved in investor complaints alleging unsuitable recommendations, churning, and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker registered with Spartan Capital Securities.
Fred Chen: $100K Complaint Against Emerson Equity Advisor
Irvine, California financial advisor Fred Chen (CRD# 5766069) allegedly recommended unsuitable investments and engaged in other violations of FINRA rules, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Emerson Equity, having previously been registered with Arque Capital.
