Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Jamie Nowakowski: Advanced Wealth Strategies Advisor Lands Complaints
Recent investor complaints against Hebron, Connecticut advisor Jamie Nowakowski (CRD# 4472043) allege that her investment recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Equitable Advisors, having previously been registered with Coastal Equities. She is also the owner of Advanced… Read More »
Traci Marchi: $370K Fraud Complaint Against Morgan Stanley Advisor
Tucson, Arizona financial advisor Traci Marchi (CRD# 3149504) recently received an investor complaint alleging that she engaged in elder abuse and unjust enrichment. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Dean & Michael Meniktas: UBS Advisors Face $1mm Complaint
A recent investor complaint against Walnut Creek, California financial advisors Dean (CRD# 2553748) and Michael Meniktas (CRD# 3186445) alleges that they recommended an investment that resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that each is registered as a broker and an investment advisor with UBS Financial Services, whose website… Read More »
Harrison Chang: $600K Complaint Against Ex-WIS Advisor
Laguna Hills, California financial advisor Harrison Chang (CRD# 4183646) recently received an investor complaint alleging that he recommended an unsuitable corporate bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and an advisor with IP Advisory Services.
Len Hirsh: SEIA, Ex-Osaic Advisor Lands $600K Complaint
A recent investor complaint against Los Angeles financial advisor Len Hirsch (CRD# 4216156) alleges that his investment strategies resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate & Investment Advisors.
SEC Fraud Charges Against South Bay Acquisitions, John Matson
South Bay Acquisitions and its principal John Matson allegedly defrauded investors in a Ponzi scheme, according to SEC charges filed in July. Filed in the United States District Court for the Southern District of California, the SEC’s complaint alleges that Matson (CRD# 1796541) and his company “made unregistered offerings of securities and raised more… Read More »
SEC Settles GWG L Bond Charges Against Geoffrey Wolterstorff, LifeMark
The Securities and Exchange Commission (SEC) announced that it settled charges against LifeMark Securities and its advisor Geoffrey Wolterstorff (CRD# 2711805) relating to the sale of GWG L bonds. The SEC administrative proceeding, released in July, found that both the firm and Mr. Wolterstorff “failed to comply with Regulation Best Interest by recommending L… Read More »
Farzad Raufi: $120K Complaint Against Former Merrill Advisor
San Jose financial advisor Farzad Raufi (CRD# 6943330) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors, having previously been registered with Merrill… Read More »
Sean McCabe: Network 1 Advisor Faces Negligence Complaint
Hauppage, New York financial advisor Sean McCabe (CRD# 5479643) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Network 1 Financial Services, having previously been registered with Worden Capital Management.
Travis Salley: Zero Day Advisor Fired by EmpiriKal Partners
West Point, New York financial advisor Travis Salley (CRD# 6523971) was recently fired 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 EmpiriKal Partners broker is currently registered as an investment advisor with Zero Day Capital Enterprises.
