New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Salina Advisor Chad Koehn: FINRA Investigates Ex-SA Stone Rep
A regulatory investigation into former SA Stone Wealth Management broker Chad Koehn (CRD# 2216169) concluded with a recent determination to bring disciplinary action against him for alleged misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Salina, Kansas advisor is currently registered with United Capital Management of Kansas.
David Barnes: $3.4 Million Complaint Against Dallas UBS Advisor
UBS Financial Services advisor David Barnes (CRD# 2181896) recently received an investor complaint alleging his investment advice resulted in more than $3 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Dallas, Texas.
Griffin Realty Trust, Now Peakstone Realty Trust, Goes Public: Losses
Griffin Realty Trust, the former non-traded REIT now listed on the NYSE as Peakstone Realty Trust, is a complex, risky investment product that may not be suitable for inexperienced retail investors. If your financial advisor represented Griffin Realty Trust as a conservative, short-term and/or liquid investment, you may be entitled to recover damages. What… Read More »
David Lehnertz: $5 Million Complaint Against Morgan Stanley Advisor
Newport Beach financial advisor David Lehnertz (CRD# 2287146) recently received an investor complaint alleging his conduct resulted in millions of dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley. Mr. Lehnertz’s BrokerCheck report discloses two investor complaints. The most recent, filed in… Read More »
Daniel Evans: $10 Million Complaint Against Seattle Advisor
Wells Fargo financial advisor Daniel Evans (CRD# 1573625) recently received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor based in Seattle, Washington. According to his firm’s website, he is a member of Evans Cahill Private Wealth Group.
Energy 11 and Energy Resources 12: Complaints, Investigations
Numerous investors have filed complaints against David Lerner & Associates alleging that the broker-dealer firm and its representatives unsuitably recommended investments in Energy 11 and Energy Resources 12, the firm’s proprietary non-public oil and gas limited partnership funds. If your Energy 11 or Energy Resources 12 investment suffered losses, you may have recovery options.
Can Northstar Healthcare Income REIT Investors Recover Their Losses?
Financial advisors and broker-dealer firms who unsuitably recommended investments in Northstar Healthcare Income Real Estate Investment Trust (REIT) may be liable for damages. The public non-traded REIT has undergone multiple developments in recent years, including the suspension of distributions, the decline of its net asset value (NAV), and the limiting of its share repurchase… Read More »
Moody National REIT II Suffers Losses over Pandemic
Moody National REIT II, a non-traded real estate investment trust, has undergone financial difficulties over the course of the Covid-19 pandemic, according to public filings and news reports. Investors who were unsuitably advised to recommend in Moody National REIT may be able to recover losses by filing a FINRA arbitration claim.
LaTour Asset Management: L Bond Complaints Against Springfield Firm
Recent investor complaints allege that Springfield, Missouri-based broker-dealer firm LaTour Asset Management recommended and sold unsuitable investments, including GWG L bonds. The firm and its founder Joe LaTour have specifically received complaints seeking damages as high as $500,000. LaTour Asset Management and LaTour Advisory Services offer securities through Center Street Securities. What Is LaTour… Read More »
Manalapan Advisor Michael Volini: Negligence Complaint
American Portfolios Financial Services advisor Michael Volini (CRD# 5693453) recently received an investor complaint alleging fraud and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Manalapan, New Jersey, and that he is also known as Michael Mertzel.
