New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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GWG Complaint Against Tim Hucks, Rising Tide Advisor
An investment in GWG Holdings is at issue a recent investor complaint lodged against Tim Hucks (CRD# 1023012), a financial advisor based in Chapel Hill, North Carolina. Records provided and maintained by the Financial Industry Regulatory Authority reveal that Mr. Hucks is a representative of Capital Investment Group and the owner and president of… Read More »
Burks Financial’s Bill Burks Lands New Investor Complaint
Flower Mound, Texas financial advisor Bill Burks (CRD# 2944992) allegedly recommended unsuitable investments, according to multiple recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as The Burks Financial Group.
Margin Complaint Against North Atlantic’s Steve Hollingsworth
A new investor complaint against Steve Hollingsworth (CRD# 1328648) alleges that the Newton, Massachusetts financial advisor made unauthorized trades. Records maintained by the Financial Industry Regulatory show that the Raymond James Financial Services broker has received multiple other complaints over the course of his career in the securities industry. He operates as a representative… Read More »
Virgil Folden: GWG L Bond Complaint Against Fredericksburg Advisor
An investment in GWG Holdings gave rise to a new investor complaint against Fredericksburg, Virginia representative Virgil Folden (CRD# 1067585), also known as Val Folden. Records provided by the Financial Industry Regulatory Authority reveal that Mr. Folden is a broker with Saxony Securities and an investment advisor with Fredericksburg Financial Planning Services.
Investor Files Complaint About Scottsdale Advisor Bryson Fisher
Bryson Fisher (CRD# 5676494), a financial advisor with Vanguard Marketing Corporation and Vanguard Advisers, is the recipient of a recent investor complaint. Records provided by the Financial Industry Regulatory Authority, which oversees its member broker-dealer firms, show that he is a broker and an investment advisor based in Scottsdale, Arizona.
Did Fidelity Advisor Sara Scaldini Fail to Follow Instructions?
Boca Raton financial advisor Sara Scaldini (CRD# 4944126) was the subject of a recent investor complaint alleging she failed to follow her client’s instructions, leading to significant losses. As a review of records provided by the Financial Industry Regulatory Authority shows, Ms. Scaldini is a broker with Fidelity Brokerage Services and an investment advisor… Read More »
Elder Abuse Complaint Against Former UBS Advisor Kevin Cook
An investor complaint against Morgan Stanley financial advisor Kevin Cook (CRD# 3159487) alleges that he committed elder abuse. Records provided by the Financial Industry Regulatory Authority show that Mr. Cook is a broker and an investment advisor based in Lafayette, Louisiana, and that he recently joined the firm from UBS Financial Services.
WestStar Advisor Erik Alexander Receives REIT Complaint
A recent investor complaint against Bellevue, Washington financial advisor Erik Alexander (CRD# 5839269) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisor Networks, doing business as WestStar Partners.
GWG Investor Files Complaint Against Finance CAPE’s Travis Jennings
Former Dempsey Lord Smith representative Travis Jennings (CRD# 5753812) recently received an investor complaint alleging he engaged in misconduct relating to the sale of GWG L bonds. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Tampa-based broker is currently registered as an investment advisor with Encompass Financial Group,… Read More »
Jeff Paladini: $75K Complaint Against BD4RIA/Cerity Partners Advisor
Fort Worth financial advisor Jeff Paladini (CRD# 4341198) allegedly recommended unsuitable investments, according to complaints against him. Financial Industry Regulatory Authority records show that he is a broker with BD4RIA and an investment advisor with Cerity Partners. He was formerly registered with Triad Advisors.
