Former Arden Hills, Minnesota financial advisor Nicholas Stovall (CRD# 5581487) was recently sanctioned and barred in connection with allegations that...
Read MoreAuthor Archives: chase@carlson-law.com
Kyle Chapman FINRA Suspends Foundations Investment Advisor
Henderson, Nevada financial advisor Kyle Chapman (CRD# 6303483) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former American Trust Investment Services broker is currently registered as an investment advisor with Foundations Investment Advisors. He is also registered as… Read More »
Peter Cox: NSB Wealth Advisor Receives Trading Complaint
Las Vegas, Nevada financial advisor Peter Cox (CRD# 4501828) recently received a investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as NSB Wealth Advisors.
Michael Buonanno: $1mm REIT Complaint Against Cetera Advisor
East Northport, New York financial advisor Michael Buonanno (CRD# 2823332) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Advisors Networks, having previously been registered with North Ridge Securities Corporation.
Nicholas Tsikitas: Aegis Advisor Denies Suitability Complaint
A recent investor complaint against Melville, New York financial advisor Nicholas Tsikitas (CRD# 2871712) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital Corporation, having previously been registered with JD Nicholas & Associates.
Brian Pavelko: FINRA Investigates NI Advisor
Milpitas, California financial advisor Brian Pavelko (CRD# 6347352) allegedly engaged in a “deceptive scheme” involving private placement offerings, according to a regulatory investigation. Financial Industry Regulatory Authority records show that he is registered as a broker with NI Advisors, having previously been registered with SW Financial.
EcoVest Capital Settles Conservation Easement Fraud Allegations
In March 2023 the conservation easement sponsor EcoVest Capital reached a settlement with the US Department of Justice in connection with federal allegations of fraud and other forms of misconduct. According to a report by The DI Wire, the settlement agreement includes an indefinite prohibition from “future involvement in the sale or promotion of… Read More »
Jim Vukovich: PNC Advisor Faces $300K Complaint
A recent investor complaint against Grand Terrace, California financial advisor Jim Vukovich (CRD# 4842997) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with PNC Investments.
Brett Straub: $300K Complaint Against Straub Group Advisor
Haddon Heights, New Jersey financial advisor Brett Straub (CRD# 2118331) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Osaic Wealth and an investment advisor with AmeriFlex Group. He is also a representative of The Straub Group.
Tom Hartfield: $400K Complaint Against Hartfield Financial Advisor
Granada Hills, California financial advisor Tom Hartfield (CRD# 4664847) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Western International Securities broker is currently registered as an investment advisor with Hartfield Financial & Insurance Services.
Bill Young: Ex-Kingswood Capital Advisor Faces GWG Complaint
Rockville, Maryland financial advisor Bill Young (CRD# 4787488) recently received an investor complaint alleging that he misrepresented an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
