Woodstock, Illinois financial advisor Tim Fraser (CRD# 4868026) recently received an investor complaint alleging that a variable annuity product resulted...
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John Lord: $140K Complaint Against Dempsey Lord Smith Advisor
Calhoun, Georgia financial advisor John Lord (CRD# 1352023) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Dempsey Lord Smith.
Charles Wareheim: Vaylark Advisor Receives REIT Complaint
Hartford, Connecticut financial advisor Charles Wareheim (CRD# 2193537) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Independent Financial Group, doing business as Vaylark Financial Services.
Brian Dreier: $268K REIT Complaint Against Heartland Financial Advisor
Quincy, Illinois financial advisor Brian Dreier (CRD# 2462344) recently received an investor complaint alleging that he provided misleading advice regarding REIT investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as Heartland Financial Advisors.
Mark Beck: $149K Complaint Against Ex-Comerica Advisor
A recent investor complaint against Bloomfield Hills, Michigan financial advisor Mark Beck (CRD# 6665794) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Ameriprise Financial Services.
Logan Cox: $205K Complaint Against Arno Wealth Advisor
Chicago financial advisor Logan Cox (CRD# 6927720) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Arete Wealth and a representative of Arno Wealth.
Martin Walcoe: David Lerner Advisor Faces Energy 11/12 Allegations
Syosset, New York financial advisor Martin Walcoe (CRD# 1593935) is under investigation in connection with allegations of unsuitable sales of Energy 11 and Energy 12, LP. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates.
Ron Kummerer: $315K Complaint Against Merrill Lynch Advisor
Exton, Pennsylvania financial advisor Ron Kummerer (CRD# 4344687) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Jason Young: $1 Million Complaint Against Creative Planning Advisor
Charlotte, North Carolina financial advisor Jason Young (CRD# 4604338) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Securities and Exchange Commission records show that he is currently registered as an investment advisor with Creative Planning, having previously been registered with Mercer Global Advisors.
Alan Katz: Did UBS Advisor Steal Customer’s Funds?
Jericho, New York financial advisor Alan Katz (CRD# 834107) allegedly stole a client’s funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s Boca Raton, Florida office.
Kevin Gutwein: Westpoint Gutwein Advisor Lands $350K Complaint
Indianapolis financial advisor Kevin Gutwein (CRD# 2904262) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services. His website shows that he is a representative of Westpoint Gutwein Group, which offers securities and… Read More »
