Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
Read MoreAuthor Archives: chase@carlson-law.com
Laura Casey: Why Did Morgan Stanley Advisor Resign?
Melville, New York financial advisor Laura Casey (CRD# 2684465) recently resigned from Morgan Stanley amidst allegations of misconduct. Financial Industry Regulatory Authority records show that she is now a broker and an investment advisor with Capitol Securities Management. She is also known as Laura Hubbard.
Suzanne Wheeler: $500K Complaint Against Olney Advisor
Arkadios Capital financial advisor Suzanne Wheeler (CRD# 1107381) allegedly recommended unsuitable investments, according to a recent complaint filed against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Olney, Maryland.
Kim Kunz: Westpark Advisor Has GWG L Bond Allegations
A recent investor complaint against Atascadero, California financial advisor Kim Kunz (CRD# 718618) alleges her recommendation to invest in a GWG L-bond led to six-figure losses. Financial Industry Regulatory Authority records show that she is a broker with Westpark Capital, having previously been registered with VFG Securities.
Nathan Cedarleaf: $1 Million Complaint Against Ex-Fidelity Advisor
Troy, Ohio financial advisor Nathan Cedarleaf (CRD# 4341451) recently received an investor complaint alleging his advice resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Investment Services, having previously been registered with Fidelity Brokerage Services.
Ameriprise’s Rudy Molynar: FS Energy & Power Complaints
Treasure Island, Florida financial advisor Rudy Molynar (CRD# 3211892) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Ameriprise Financial Services.
Brian Linde: Structured Note Complaint Against Solstice Wealth Advisor
Sacramento financial advisor Brian Linde (CRD# 4376496) recently received an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with LPL Financial, doing business as Solstice Wealth Management.
Wayne Rentschler: New Albany Advisor Has GWG L Bond Complaint
A recent investor complaint against American Equity Investment Corporation financial advisor Wayne Rentschler (CRD# 4873172) alleges misconduct relating to an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is currently registered as a broker in New Albany, Indiana.
Northstar Financial Annuity Losses: Investors May Have Options
Multiple investors have filed complaints regarding investments in Northstar Financial Services, a Bermuda company that offered variable annuities before entering bankruptcy proceedings, and whose owner was recently charged with corruption and bribery by federal prosecutors and securities regulators. According to a 2021 report by the Royal Gazette, Northstar Financial filed for bankruptcy in 2020… Read More »
Highlands REIT: Did InvenTrust Mislead Investors?
When Inland American Real Estate Trust changed its name to InvenTrust Properties and spun off its non-core assets into subsidiary Highlands REIT in 2015, it suggested in public statements that Highlands would deliver investors a return by liquidating those assets and distributing net proceeds from the liquidation. Instead, according to a 2019 report by… Read More »
Mark Stevens: L Bond Complaint Against Ex-Accelerated Capital Advisor
M Stevens Securities advisor Mark Stevens (CRD# 2074085) allegedly sold an unsuitable GWG L bond investment, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that the Irvine, California representative is also registered with M Stevens Wealth Advisors and Kingswood Capital Partners. He was previously affiliated with Accelerated Capital… Read More »
