New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Investor Files Complaint Against Jeffrey Towles, Columbus Advisor
A recent investor complaint against Fidelity Brokerage Services financial advisor Jeffrey Towles (CRD# 3093428) alleges six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered in Columbus, Ohio and Boston, Massachusetts.
Justin Singletary: GWG L Bond Complaint Against Ex-Westpark Advisor
A recent investor complaint against former Westpark Capital broker Justin Singletary (CRD# 6325695) recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that Mr. Singletary is no longer registered as a broker. Securities and Exchange Commission records show that he is registered as an investment advisor with Quiver Financial… Read More »
Port Huron Advisor Jeff Poosch Receives Walton Land Complaint
A recent investor complaint against Port Huron, Michigan financial advisor Jeff Poosch (CRD# 2490703) details allegation regarding an investment in Walton Land Fund 3. Financial Industry Regulatory Authority records show that he is a broker with Prospera Financial Services, doing business as Jeff Poosch Financial Services.
Richard Crabtree: SEC Sanctions Merrill Advisor over Alleged Fraud
The Securities and Exchange Commission recently barred Annapolis financial advisor Richard Crabtree (CRD# 1855649) in connection with allegations he defrauded a client. Financial Industry Regulatory Authority records show that he was most recently registered with Merrill Lynch, though he has been barred from acting as a broker or investment adviser or otherwise associating with… Read More »
San Francisco Advisor Bill Conn Has Mismanagement Complaint
International Assets Advisory financial advisor Bill Conn (CRD# 1477107) has received an investor complaint that settled for more than $500,000 and was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor in San Francisco,… Read More »
Coast Capital Advisor Linda Wimsatt: L Bond Complaint
Carlsbad, California financial advisor Linda Wimsatt (CRD# 1401802) is the recipient of complaints regarding investments in GWG L bonds. Financial Industry Regulatory Authority records show that she is a broker with American Trust Investment Services and an investment advisor with Chicago Wealth Management Advisors, doing business as Coast Capital Wealth Management.
Crypto Complaints Against Oldsmar’s Carlos Cortez Reach Settlements
Numerous investor complaints against former Clearwater, Florida financial advisor Carlos Cortez (CRD# 5378014) allege he recommended investments in a fraudulent cryptocurrency scheme. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former World Equity Group broker is currently an investment advisor with Cortez Wealth Group in Oldsmar, Florida.
David Bulow: GWG L Bond Complaint Against NI Advisors Broker
A recent investor complaint against Milpitas, California financial advisor David Bulow (CRD# 5834367) alleges various forms of misconduct relating to the sale of GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with NI Advisors.
Doug Gow: GWG Complaint Against Ex-Capital Investment Group Advisor
A recent investor complaint against Rome, Georgia financial advisor Doug Gow (CRD# 709653) alleges misconduct relating to an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, having previously been registered with Capital Investment Group.
Thais Piotrowski: $150K Complaint Against Boca Raton Advisor
Ameriprise Financial Services advisor Thais Piotrowski (CRD# 4729077) allegedly recommended unsuitable investments, according to a recent investor complaint against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Boca Raton, Florida.
