Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Lex Hackley: $300K GWG L Bond Complaint Against Front Range Advisor
Centennial, Colorado financial advisor Lex Hackley (CRD# 4899317) recently received an investor complaint alleging six-figure damages relating to a GWG L bond investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LifeMark Securities, doing business as Front Range Financial.
Yvonne Zhong: $900K GWG L Bond Complaint Against Los Gatos Advisor
A recent investor complaint against NI Advisors financial advisor Yvonne Zhong (CRD# 3203120) alleges that she unsuitably recommended an investment in GWG L bonds. Financial Industry Regulatory Authority records show that she is a broker based in Los Gatos, California.
Cindy Chiellini: $100K Complaint Against Cola Wealth Advisor
Lexington, South Carolina financial advisor Cindy Chiellini (CRD# 1015592) has been involved in dozens of investor complaints. Financial Industry Regulatory Authority records show that she is a broker registered with Centaurus Financial and a representative of Cola Wealth Advisors.
Brett Rutherford: Capital Investment Advisor Has $100K GWG Complaint
A recent investor complaint against Morehead City, North Carolina financial advisor Brett Rutherford (CRD# 4001310) alleges that he unsuitably recommended GWG Holdings investments. Financial Industry Regulatory Authority records show that he is a broker with Capital Investment Group and the president of Rutherford Financial Group.
Steven Graham: SEC Charges Valencia Advisor in GWG L Bond Complaint
Valencia, California financial advisor Steven Graham (CRD# 1977736) allegedly recommended unsuitable GWG L bond investments, according to Securities and Exchange Commission charges. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities, which has also been charged with fraud by the SEC.
John Starke: $320K Complaint Against Centaurus Advisor
Mechanicsville, Virginia financial advisor John Starke (CRD# 3154774) recently received an investor complaint alleging his investment advice resulted in losses of more than $300,000. Financial Industry Regulatory Authority records show that he is a broker with Centaurus Financial, also registered with the firm’s office in Southport, North Carolina.
Hillard Rest: $290K GWG L Bond Complaint Against Newport Beach Advisor
Newport Beach financial advisor Hillard Rest (CRD# 858840) has received several investor complaints alleging negligence, fraud, and other forms of misconduct related to GWG L bond investments. Financial Industry Regulatory Authority records show that he is a broker with JRL Capital Corporation and a representative of Hillard Rest Associates.
Gregory Richards: $500K Complaint Against Liberty Wealth Advisor
Gregory Richards (CRD# 1339012), a financial advisor in Scottsdale, Arizona, recently received an investor complaint alleging his advice led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Kingswood Capital Partners and Kingswood Wealth Advisors, respectively, doing business as Liberty Wealth Management.
Mike Valenta: Oil & Gas Complaint Against Cambridge Advisor
Westminster, Colorado financial advisor Mike Valenta (CRD# 1386978) has received several investor complaints alleging he recommended unsuitable and/or concentrated investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research.
Chris Keelin: $250K Complaint Against Money Concepts Advisor
Alabaster, Alabama financial advisor Chris Keelin (CRD# 1455741) has received an investor complaint alleging he made misrepresentations that resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Money Concepts Capital Corp.
