Englewood, Colorado financial advisor Terry Herron (CRD# 1172497) is listed in a Form D filing for Inspired Healthcare Capital, a...
Read MoreAuthor Archives: chase@carlson-law.com
Matt Nelson: Complaint Against Ex-Cambridge Advisor Settled for $330K
Boeme, Texas financial advisor Matt Nelson (CRD# 4050793) allegedly misrepresented an alternative investment, according to an investor dispute that reached a six-figure settlement. Securities and Exchange Commission records show that he is registered as an investment advisor with Prime Capital Financial.
Richard Kubiak: $6mm Complaint Against Ameriprise Advisor
Cheektowaga, New York financial advisor Richard Kubiak (CRD# 2856073) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Ted Boutis: Ameriprise Advisor Received $1mm Complaint
Melville, New York financial advisor Ted Boutis (CRD# 2951760) misrepresented variable annuity investments, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Carlson Law Investigating Tom Liu of Morgan Stanley
UPDATE: Carlson Law has filed an arbitration against Morgan Stanley relating to Tom Liu. Carlson Law is investigating Irvine, California, Morgan Stanley broker Tom Liu (CRD# 6834194). We have been retained by a client of Liu who suffered substantial losses after Liu engaged in high-risk options trading, including selling naked put options on Tesla, Alphabet… Read More »
Luigi Mazza: Oppenheimer Advisor Landed $139K Complaint
A recent, denied investor complaint against Coral Gables, Florida financial advisor Luigi Mazza (CRD# 3025837) alleged 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 Oppenheimer & Company.
Daniel Loy: Suitability Complaint Against LTK Wealth Advisor
Milpitas, California financial advisor Daniel Loy (CRD# 3029654) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as LTK Wealth Management.
Tony Gallea & Helen Rothlein: Morgan Stanley Advisors Face $429K Claim
Morgan Stanley financial advisors Tony Gallea (CRD# 713980) and Helen Rothlein (CRD# 709040) recently received an investor complaint alleging that their conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that Mr. Gallea is based in Hendersonville, North Carolina and Palm Coast, Florida, while Ms. Rothlein is based in New York City… Read More »
Seiichi Shinomiya: Why Did Western International Fire Advisor?
Port Washington, New York financial advisor Seiichi Shinomiya (CRD# 1752347) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Western International Securities broker is registered as an investment advisor with Dorado Wealth Management.
Franklin Lentz: Why Did JW Cole Advisor Resign?
Gainesville, Florida financial advisor Franklin Lentz (CRD# 1517542) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former JW Cole Financial broker is registered as an investment advisor with Lentz Advisors.
Gerry Siegel: $100K-$500K Complaint Against Aegis Advisor
Sarasota, Florida financial advisor Gerry Siegel (CRD# 1830390) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Aegis Capital, having previously been registered with JHS Capital Advisors.
