New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
Read MoreAuthor Archives: chase@carlson-law.com
Steven Standley: $190K GWG L Bond Complaint Against Brentwood Advisor
A recent investor complaint against DH Hill Securities financial advisor Steven Standley (CRD# 4282051) alleges six-figure losses stemming from an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Brentwood, Tennessee.
Stephen Marek: $112K Complaint Against American Pride Advisor
Uniondale, New York financial advisor Stephen Marek (CRD# 2458841) recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Joseph Gunnar & Company, doing business as American Pride Wealth Management.
Wayne Hill: Strategic Asset Management Advisor Has $277K GWG Complaint
A recent investor complaint against Lane, South Carolina financial advisor Wayne Hill (CRD# 1692976) details allegations regarding investments 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 Strategic Asset Management Consultants.
Bernie Adair: Investor Alleges Jupiter Advisor Misappropriated Funds
Merrill Lynch financial advisor Bernie Adair (CRD# 1535429) allegedly misappropriated investor funds, according to a recent complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Jupiter, Florida.
Cash Freeman: RBC Denies $1mm Complaint Against Fort Collins Advisor
RBC Capital Markets financial advisor Cash Freeman (CRD# 6374508) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Fort Collins, Colorado.
Karen Geiger: Former Ohio Advisor Has $1 Million GWG L Bond Complaint
Cape Securities financial advisor Karen Geiger (CRD# 1456604) recently received an investor complaint alleging more than $1 million in damages connected to a GWG L bonds investment. Financial Industry Regulatory Authority records show that she is registered as a broker in McDonough, Georgia, having formerly been registered with Wall Street Securities in Akron, Ohio… Read More »
Scottsdale Advisor Michael Ning: GWG Holdings Complaint
Arque Capital financial advisor Michael Ning (CRD# 3088956) recently received a seven-figure investor complaint concerning investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.
Investor Files Complaint Against Spartan Capital’s Justin Dieter
Garden City, New York financial advisor (CRD# 5225102) has received multiple investor complaints alleging that his investment recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Spartan Capital Securities, having previously affiliated with Allied Millennial Partners and Aegis Capital.
REIT Complaint Against Former Ameriprise Advisor James Cavalier
Former New Brighton, Minnesota financial advisor James Cavalier (CRD# 1579594) recently received an investor complaint alleging misconduct related to REIT and annuity investments. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services broker and investment advisor is not currently registered with any FINRA member firm.
Moloney Securities Advisor Peter Ferraro: Bond Complaint
Manchester, Missouri financial advisor Peter Ferraro (CRD# 2386025) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Moloney Securities and that he has been sanctioned by securities regulators.
