Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
Read MoreAuthor Archives: chase@carlson-law.com
Alex Paredes-Malaga: $750K Complaint Against Merrill Lynch Advisor
A recent investor complaint against Brea, California financial advisor Alex Paredes-Malaga (CRD# 7191576) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Michelle Neuhalfen: Bankers Life Denies $782K Complaint Against Advisor
New Bern, Connecticut financial advisor Michelle Neuhalfen (CRD# 7206531) allegedly made unsuitable investment recommendations, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Bankers Life Securities and an advisor with Bankers Life Advisory Services.
Mike Kilpatrick: 150K Complaint Against Kilpatrick Financial Advisor
Camarillo, California financial advisor Mike Kilpatrick (CRD# 1278618) 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 Centaurus Financial, doing business as Kilpatrick Financial Group.
Michael Zidanic: Northland Advisor Fired by Ameriprise
Milwaukee, Wisconsin financial advisor Michael Zidanic (CRD# 2508373) was recently fired by Ameriprise Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with Northland Securities and an investment advisor with Northland Asset Management.
Abelardo Riera: GS Group Advisor Faces Investor Complaint
New York City financial advisor Abelardo Riera (CRD# 2514172) allegedly misrepresented an 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 Merrill Lynch, whose website describes him as founder of The GS Group, a practice within the firm.
Mark Gassoso: $500K Complaint Against Ex-National Securities Advisor
Jersey City financial advisor Mark Gassoso (CRD# 2590007) 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 B. Riley Wealth Management, having previously been registered with National Securities Corporation.
Rich Gibson: Purshe Kaplan Advisor Faces $2 Million DST Complaint
A recent investor complaint against Long Beach, California financial advisor Rich Gibson (CRD# 5352063) alleges that he recommended unsuitable Delaware Statutory Trust investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Global View Capital Management.
Bron Thompson: CIG Advisor Faces 6-Figure GWG Complaints
Dunn, North Carolina financial advisor Bron Thompson (CRD# 4350479) has received multiple investor complaints relating to investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is registered as a broker with Capital Investment Group and an advisor with Capital Investment Advisory Services.
Bilo Bouab: Garden State Advisor Receives 6-Figure Complaints
Red Bank, New Jersey financial advisor Bilo Bouab (CRD# 4340284) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Garden State Securities broker is currently registered as an investment advisor with Garden State Investment Advisory Services.
Rich Ceffalio: $3.5mm Complaint Against Fired LPL Advisor
Arlington Heights, Illinois financial advisor Rich Ceffalio (CRD# 2619565) was terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial broker is currently registered with NewEdge Advisors, doing business as Providence Private Wealth.
