Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
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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 »
David Sosa: Structured Products Complaint Against Cetera Advisor
Lake Mary, Florida financial advisor David Sosa (CRD# 2447013) allegedly made an unauthorized transaction, 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 Investment Services and Cetera Investment Advisers, respectively, and that he is an employee of Regions… Read More »
Vince Lucchesi: Alden Advisor Resigns from UBS
Red Bank, New Jersey financial advisor Vince Lucchesi (CRD# 1444054) recently resigned from UBS Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group.
Mimi Park: $600K Complaint Against US Bancorp Advisor
Santa Monica, California financial advisor Mimi Park (CRD# 4684111) recently received an investor complaint alleging that she misappropriated funds. Financial Industry Regulatory Authority records show thats he is registered as a broker and an investment advisor with US Bancorp Investments, having previously been registered with LPL Financial.
