Former New York City financial advisor Eric Kleiner (CRD# 4135180) was recently sanctioned and barred in connection with alleged rule...
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Chris Peitz: Calton Advisor Faces Misappropriation Allegations
A regulatory investigation into Mitchell, South Dakota financial advisor Chris Peitz (CRD# 2050559) concerns allegations that he misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Calton & Associates, doing business as Independent Financial Center.
Amy Furuno: Ex-Ladenburg Advisor Received $3mm Complaint
A recent, denied investor complaint against New York City financial advisor Amy Furuno (CRD# 3108378) alleged that her conduct resulted in more than $3 million in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Lucid Capital Markets, having previously been registered with Ladenburg Thalmann & Company.
Carlson Law Represents Several Chuck Roberts Clients Against Stifel
Carlson Law is representing several former clients of Chuck Roberts (CRD# 2064602), a Miami Beach-based financial advisor licensed with Stifel, Nicolaus & Company. Roberts is the Managing Director of the CR Wealth Management Group. Our firm currently has two pending arbitrations, one for a family based in Los Angeles and a second for a… Read More »
Lisa Hayes: $2mm Complaint Against Ex-Commonwealth Advisor
South Nyack, New York financial advisor Lisa Hayes (CRD# 1224647) recently received an investor complaint alleging that she recommended unsuitable investments, resulting in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Commonwealth Financial Network broker is currently registered as an investment advisor with Perigon Wealth Management.
Debra Cappos: Momentum Advisor Received Suitability Complaint
Oak Park, California financial advisor Debra Cappos (CRD# 1287041) allegedly mis-managed a customer’s account, according to a denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Momentum Independent Network, having previously been registered with Western International Securities.
Roosevelt Grayson: LPL Advisor Faces Suitability Complaint
A recent investor complaint against Detroit, Michigan financial advisor Roosevelt Grayson (CRD# 1328135) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Grayson Advisory Group.
Don Wells: $170K Complaint Against Realta, Ex-Titan Advisor
San Diego, California financial advisor Don Wells (CRD# 1217316) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively, having previously been registered with Titan Securities.
Carlson Law Uncovers Financial Advisor’s Embezzlement Scheme Against Former NFL Player
Miami Beach-based Carlson Law, P.A. recently uncovered a $2.6 million embezzlement scheme perpetrated by a financial advisor at a prominent Wall Street wealth management firm. The advisor misappropriated funds from a former NFL player, using the stolen money to finance a wild and extravagant spending spree. The embezzlement occurred between 2019 and 2022, during… Read More »
Anderson Pointe Investments: Conservation Easement Concerns?
Anderson Pointe Investments is a conservation easement that filed a Form D with the Securities and Exchange Commission to raise funds from investors in 2018. According to the form, the offering totaled $6,909,000, with a minimum investment of $70,500 accepted from outside investors. As it raised funds for the offering, it worked with broker-dealer… Read More »
Jefferies Fires Miami Advisors over “Impermissible” Money Transfers
A team of Miami-based representatives of Jefferies Financial Group were fired in connection with allegations of “impermissible money-transfer wires” and “deleted off-channel business communications,” according to news reports and filings with the Financial Industry Regulatory Authority. The representatives in question are Pablo Gherardi (CRD# 4602689), Guillermo Guerra (CRD# 4907302), Marcelo Poliak (CRD# 2465622), and… Read More »
