First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Tom Rapp: Greenberg & Rapp Advisor Faces $1.2mm Complaint
Morristown, New Jersey financial advisor Tom Rapp (CRD# 1792438) 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 and an investment advisor with M Holdings Securities, and that he is a principal at Greenberg and Rapp Financial… Read More »
Rob Restino: $500K Complaint Against Pinnacle Financial Advisor
Wellington, Florida financial advisor Rob Restino (CRD# 2070863) recently received an investor complaint alleging that he misled a client. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Lincoln Investment, doing business as Pinnacle Financial Advisors.
Eliab Alonzo: GoldenBridge Advisor Faces Suitability Complaint
McAllen, Texas financial advisor Eliab Alonzo (CRD# 5098689) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera, as well as a representative of GoldenBridge Wealth.
Beau McNicholas: Financial Landscaping Advisor Lands Complaint
Brooklyn, New York financial advisor Beau McNicholas (CRD# 4199745) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Financial Landscaping.
Enrique Pascual: $635K Complaint Against Stonecrest Advisor
A recent investor complaint against San Juan, Puerto Rico financial advisor Enrique Pascual (CRD# 2184412) alleges that he recommended an unsuitable investment in a promissory note. Financial Industry Regulatory Authority records show that he is registered as a broker with Stonecrest Capital Markets.
Jerry Hanifan: Estate Planning Center Advisor Faces $50K Complaint
West Jefferson, North Carolina financial advisor Jerry Hanifan (CRD# 2286666) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with USA Financial Securities, and that he is the president of Estate Planning Center.
TK Daniel Chen: $500K GWG Complaint Against TKC Wealth Advisor
Dallas, Texas financial advisor TK Daniel Chen (CRD# 2394916) recently received an investor complaint alleging that he recommended an unsuitable GWG L bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.
Heather O’Neill Fairbanks: Beacon Pointe Advisor Faces $250K Complaint
Skokie, Illinois financial advisor Heather O’Neill Fairbanks (CRD# 2135206) recently received an investor complaint alleging that she misappropriated funds. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former FSC Securities broker is registered as an investment advisor with Beacon Pointe Advisors.
Tony Mampieri: $7.7mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Dublin, Ohio financial advisor Tony Mampieri (CRD# 1653703) alleges that his conduct resulted in more than $7 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors.
Robert Moon: $4mm Complaint Against Moon Wealth Advisor
Bethesda, Maryland financial advisor Robert Moon (CRD# 2431875) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Merrill Lynch.
