Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations....
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Shaun Grimaldi: E1 Advisor Faces $4 Million Complaint
Jersey City financial advisor Shaun Grimaldi (CRD# 4529021) recently received an investor complaint alleging that he mismanaged funds in a customer’s account. Financial Industry Regulatory Authority records show that he is a broker with E1 Asset Management.
Maury Lomax: $1mm Complaint Against Morgan Stanley Advisor
A recent investor complaint against Mobile, Alabama financial advisor Maury Lomax (CRD# 4389255) alleges that his conduct resulted in million-dollar damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, having previously been registered with Citigroup Global Markets.
Paulson Wealth Advisor Nathan Paulson: $5 Million Trading Complaint
Former APW Capital financial advisor Nathan Paulson (CRD# 4799867) recently received an investor complaint alleging seven-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is currently an investment advisor with Paulson Wealth Management in Wheaton, Illinois.
Matt Barr: $100K Complaint Against Merrill Lynch Advisor
Columbia, Maryland financial advisor Matt Barr (CRD# 5224488) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, having previously been registered with NYLife Securities.
Ted Oakley: SEC Investigating Herdon Plant Oakley Advisor
Corpus Christi financial advisor Ted Oakley (CRD# 813008) is under investigation by the Securities and Exchange Commission in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the Herndon Plant Oakley broker is also registered as an investment advisor with Oxbow Advisors.
Timothy McVey: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Timothy McVey (CRD# 1535662) is listed as a creditor for a GWG L bond investment, according to public records. These records, filed with a US bankruptcy court, disclosed an investment of $86,000. Financial Industry Regulatory Authority records show that he is a broker… Read More »
Ryan Wieser: Moloney Advisor’s Client Invested in GWG L Bonds
At least one current or former customer of Moloney Securities advisor Ryan Wieser (CRD# 4940639) is listed as a creditor for investments in GWG L bonds, according to public records. Filed with a US bankruptcy court, these records disclose investments totaling $100,000. Financial Industry Regulatory Authority records show that he is a broker and… Read More »
Cape Securities Advisor Wai Procter: Clients Listed as GWG Creditors
At least two current or former clients of former Cape Securities advisor Wai Procter (CRD# 2042244) are listed as creditors for investments in GWG L bonds, according to records filed with a US bankruptcy court. These records disclosed investments totaling $400,000. Financial Industry Regulatory Authority records show that Procter was previously registered in McDonough,… Read More »
Trine Andersen: Did Valic Advisor Recommend GWG?
At least one current or former client of Valic Financial advisor Trine Andersen (CRD# 5206252) is listed as a creditor for an investment in GWG L bonds, according to public records. Filed in a bankruptcy court in Texas, these records describe an investment of $88,000. Financial Industry Regulatory Authority records show that she is… Read More »
Scott Eichler: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Scott Eichler (CRD# 5431034) is listed as creditor for an $99,000 GWG L bond investment, according to records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that Mr. Eichler is based in Newport Beach, California, where he does business… Read More »
