A recent investor complaint against Red Bank, New Jersey financial advisor Jase Simmons (CRD# 2438224) alleges that he violated multiple...
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Todd Kalish: GWG Complaint Against Park Edge Advisor
Cleveland financial advisor Todd Kalish (CRD# 2865875) recently received an investor complaint alleging he recommended an unsuitable GWG L bond. At least 15 current or former clients of Park Edge Group, an entity described in FINRA records as the LLC Mr. Kalish used to receive funds for his advisory business, are listed as creditors… Read More »
Alliance Global Partners’ Salvatore Renzo: GWG Investments
At least two current or former clients of Alliance Global Partners advisor Salvatore Renzo (CRD# 2518851) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court. These records reflect investments totaling more than $180,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Bob Kromer: Did RK Retirement Solutions Advisor Recommend GWG L Bonds?
At least one current or former client of RK Retirement Solutions advisor Bob Kromer (CRD# 1448765) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, the records describe an investment of more than $150,000. Securities and Exchange Commission records show that Mr…. Read More »
Hiss Sherman Advisor Bob Hiss: GWG Holdings Complaint
At least five current or former clients of IFP Securities advisor Bob Hiss (CRD# 1599380) are listed as creditors for investments in GWG Holdings, according to public records. Filed with a US bankruptcy court in Texas, these records describe investments of more than $1 million in total. Financial Industry Regulatory Authority records show that Mr…. Read More »
Cornell Asset Management’s Jacob Cornell: Clients Invested in GWG
At least five current or former customers of Centaurus Financial advisor Jacob Cornell (CRD# 6286359) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court, the records describe investments totaling $650,000. Financial Industry Regulatory Authority records show that Mr. Cornell… Read More »
Gisela Lake: KW Securities Advisor Fired by BB Graham & Company
Larkspur, California financial advisor Gisela Lake (CRD# 1121376) was recently fired by BB Graham & Company in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she is currently registered as a broker with KW Securities Corporation.
Chris Pelley: Did Apollon Wealth Advisor Recommend GWG L Bonds?
At least six current or former clients of Denver financial advisor Chris Pelley (CRD# 1609191) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court in Texas, the records describe investments totaling more than $800,000. Financial Industry Regulatory Authority records… Read More »
Todd Gauthier: Truist Advisor Receives Options Complaint
Alpharetta financial advisor Todd Gauthier (CRD# 1429968) recently received an investor complaint alleging misconduct relating to an options investment. Financial Industry Regulatory Authority records show that he is a broker with Truist Investment Services and an investment advisor with Truist Advisory Services.
Kurt Cambier: Did Cambridge Advisor Sell Unsuitable Oil & Gas Product?
Littleton, Colorado financial advisor Kurt Cambier (CRD# 1392482) has received multiple investor complaints alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Centennial Capital Partners.
Plato Guerra: Pro Ace Wealth Advisor Faces ETF Complaint
A recent investor complaint alleges that Camarillo, California financial advisor Plato Guerra (CRD# 4504920) engaged in conduct that resulted in damages in a customer’s account. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with SagePoint Financial, operating under the brand Pro Act Wealth Solutions.
