New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Henrico Advisor Michael Thaler: BDC Complaint
A recent investor complaint against Cambridge Investment Research financial advisor Michael Thaler (CRD# 2557899) concerns investments in a business development corporation and an oil and gas product. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Henrico, Virginia.
Suitability Complaint Against Greenville Advisor Greg Gibson
Greg Gibson (CRD# 1694647), a financial advisor with Dempsey Lord Smith, recently received an investor complaint alleging his advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Greenville, South Carolina.
J. Benjamin Financial’s Robert Wilson: GWG Complaint
Former New Albany, Indiana broker Robert Wilson (CRD# 2364716) is the recipient of an investor complaint alleging he recommended an investment in GWG Holdings, which later filed for bankruptcy. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with J. Benjamin Financial in… Read More »
GWG Complaint Against Highland Financial’s Joseph Jackson
Fayetteville, North Carolina financial advisor Joseph Jackson (CRD# 2351290) recently received an investor complaint alleging six-figure damages stemming from an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Capital Investment Group, doing business as Highland Financial Management and Cape Fear Securities.
Cape Girardeau Advisor Rick Bandermann: New Investor Complaint
Merrill Lynch financial advisor Rick Bandermann (CRD# 1613847) allegedly provided misleading investment advice that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Cape Girardeau, Missouri.
LaraDorbecker Advisor Cindy Hanerhoff Receives Investor Complaint
Cindy Hanerhoff (CRD# 1084549), a financial advisor based in Houston, Texas, is involved in a customer dispute alleging unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is a broker with Sunbelt Securities, doing business as LaraDorbecker Securities Corporation.
Naples Advisor Stephen Spahr: Investor Files New Complaint
Janney Montgomery Scott financial advisor Stephen Spahr (CRD# 865189) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Naples, Florida.
Beaumont UBS Advisor Mike Persia: New Investor Complaint
UBS Financial Services advisor Mike Persia (CRD# 712234) is the recipient of an investor complaint alleging $900,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Beaumont, Texas.
Suitability Complaint Against Denver Advisor William Duffy
Lone Tree, Colorado financial advisor William Duffy (CRD# 6726333) is the recipient of multiple investor complaints alleging he provided unsuitable advice. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Innovation Partners, Sharenett Securities, and Direct Source Wealth Advisory, and that he does business as WD… Read More »
Investor Files Complaint Against Kestra Advisor Ben Belanger
A recent investor complaint against Kestra Investment Services financial advisor Ben Belanger (CRD# 5293459) alleges that his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Austin, Texas.
