First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Did B. Riley’s Darren Daye Sell Unsuitable GWG, GPB Investments?
Las Vegas financial advisor Darren Daye (CRD# 3032746) allegedly recommended unsuitable investments in GWG Holdings and GPB Waste Management, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with B. Riley Wealth Management and B. Riley Wealth Advisors, respectively.
Gianluca De Berardinis: New Complaint Against Morgan Stanley Advisor
New York City financial advisor Gianluca De Berardinis (CRD# 4893776) is involved in an investor complaint alleging he provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, whose website indicates that he is a member of the De Berardinis Group.
Monty Cerf: $7 Million Options Overlay Complaint Against UBS Advisor
A pending investor complaint against New York financial advisor Monty Cerf (CRD# 2269462) alleges that he misrepresented and recommended an unsuitable options strategy. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with UBS Financial Services.
UBS Advisor Gerard Costello: $900K Options Overlay Complaint
A recent investor complaint against New York City financial advisor Gerard Costello (CRD# 1551511) alleges that his investment advice concerning an options overlay strategy resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Raymond James Advisor William Seibert: Complaint Settles for $897K
Houma, Louisiana financial advisor William Seibert (CRD# 2710335) recently received an investor complaint alleging he recommended unsuitable oil and gas products. Financial Industry Regulatory Authority records show that the Raymond James & Associates broker has also received an investor complaint that recently settled for more than $800,000.
David Hirsch: Options Overlay Complaints Against UBS Advisor
Multiple investor complaints against Chicago financial advisor David Hirsch (CRD# 1341777) allege that he misrepresented and unsuitably recommended an options overlay strategy. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with UBS Financial Services.
MML’s Michael Yoon Has $500K Unauthorized Trading Complaint
Los Angeles financial advisor Michael Yoon (CRD# 6348923) allegedly made unsuitable investment recommendations and unauthorized trades, according to a new investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with MML Investors Services.
Daniel Joyce: GWG L Bond Complaint Against WestPark Advisor
New York City financial advisor Daniel Joyce (CRD# 1112928) allegedly provided misleading information regarding investments in GWG L bonds, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with WestPark Capital.
Stifel Nicolaus Advisor Kenneth Ramos Lands $389K Investor Complaint
A recent investor complaint against New York City financial advisor Kenneth Ramos (CRD# 2553426) alleges, among other things, that he engaged in unauthorized trading. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Morgan Stanley.
RBC Advisor Martin Klein: Complaints Allege $34 Million Losses
Pending investor complaints against Newport Beach financial advisor Martin Klein (CRD# 1778613) allege that his investment advice resulted in damages of more than $30 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with RBC Capital Markets.
