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
Carlson Law Represents Francis Schiavetti Client Against Stoever, Glass & Company Inc.
Carlson Law is representing a former client of Francis “Fran” Schiavetti, a Boca Raton-based financial advisor formerly licensed with Stoever, Glass & Company Inc. Schiavetti is a registered representative who was registered with Stoever from approximately October 2018 through December 2023. He is now licensed with A.G.P. / Alliance Global Partners. Our firm currently… Read More »
SEC Charges Against Arete Wealth: Zona Energy Fraud
The Securities and Exchange Commission recently announced charges against Arete Wealth and three of its former personnel: Joey Miller, Jeff Larson, and Randy Larson. The regulator has also filed charges against the firm’s Chief Compliance Officer, UnBo Chung, also known as Bob Chung. The charges allege fraud, registration violations, aiding and abetting record-keeping violations,… Read More »
Lester Hamrick: MML Advisor Lands $100K-$500K Complaint
Tallahassee, Florida financial advisor Lester Hamrick (CRD# 5208155) recommended an unsuitably risky investment strategy, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Mike Lickiss: Ex-Arkadios Advisor Faces $2.3mm Complaint
UPDATE: Carlson Law is representing a former client of Mr. Lickiss who lost approximately $1 million investing in promissory notes offered by Mr. Lickiss’s father. Multiple investor complaints against Danville, California financial advisor Mike Lickiss (CRD# 5135936) allege misconduct in connection with investments recommended by his father, Edwin Lickiss. Financial Industry Regulatory Authority and… Read More »
Adam Brown: $350K Complaint Against St. Bernard Financial Advisor
Jonesboro, Arkansas financial advisor Adam Brown (CRD# 4905935) 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 St. Bernard Financial Services, doing business as Banks and Brown.
Angelo Piccone: FINRA Suspends Piccone Wealth Advisor
Former Pittsford, New York financial advisor Angelo Piccone (CRD# 1401761) has been sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with IBN Financial Services, doing business as Piccone Wealth Management.
Patrick Maguire: $1.2mm Complaint Against Greenberg & Rapp Advisor
A recent investor complaint against Morristown, New Jersey financial advisor Patrick Maguire (CRD# 4892680) alleges that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with M Holdings Securities, as well as a representative of Greenberg & Rapp.
Carolyn Wyatt: Arrowhead Wealth Advisor Received $120K Complaint
Glendora, California financial advisor Carolyn Wyatt (CRD# 4071929) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Western International Securities, doing business as Arrowhead Wealth Advisors.
Carlton Fletcher: FINRA Bars Ex-Dinosaur Financial Advisor
Former New York City financial advisor Carlton Fletcher (CRD# 2455798) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Dinosaur Financial Group.
Al Vanderlaan: FINRA Suspends Ex-WestPark Advisor over GWG L-Bonds
Former Watertown, South Dakota financial advisor Al Vanderlaan (CRD# 1172406) was recently sanctioned in connection with allegedly unsuitable GWG L bond sales. Financial Industry Regulatory Authority records show that he was previously registered as a broker with WestPark Capital, and before that, Sandlapper Securities.
