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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Larry Feldmesser: Stifel Advisor Receives 6-Figure Complaint
A recent investor complaint against Washington, DC financial advisor Larry Feldmesser (CRD# 1848547) alleges 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 Stifel Nicolaus & Company.
Robb Herje: Northland Advisor Lands REIT Complaint
A recent investor complaint against Minneapolis financial advisor Robb Herje (CRD# 1496687) alleges that he misrepresented and recommended unsuitable real estate investment trusts. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Northland Securities and Northland Asset Management, respectively.
Bill Carlton: SEC Alleges Cherry-Picking Fraud by Ex-Cetera Advisor
Former Bellevue, Washington financial advisor Bill Carlton (CRD# 1215541) was recently charged in connection with allegations that he defrauded customers in a cherry-picking scheme. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Cetera.
Jason Lowther: $125K Complaint Against Ex-Western Advisor
A recent investor complaint against Quincy, Massachusetts financial advisor Kevin O’Sullivan (CRDQ# 4499275) alleges that an oil and gas investment led to six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Commonwealth Financial Network, doing business as Axial Financial Group.
Stephen Smith: Regions Advisor Faces $200K Complaint
Fort Myers, Florida financial advisor Stephen Smith (CRD# 2632131) 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 and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively, doing business as Regions Bank.
Patrick Dever: $1 Million Complaint Against Stifel Advisor
West Chester, Pennsylvania financial advisor Patrick Dever (CRD# 2202204) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
David Dosik: Why Did Cetera Advisor Resign from SCF Securities?
Northbrook, Illinois financial advisor David Dosik (CRD# 1978544) recently resigned from SCF Securities in connection with alleged policy violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Cetera Financial Specialists and Cetera Investment Advisers, respectively.
Gordy Gutowsky: Ex-Cetera Advisor Receives $400K Complaint
A recent investor complaint against Chanhassen, Minnesota financial advisor Gordy Gutowsky (CRD# 3089973) alleges fraud and breach of contract. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, having previously been registered with SagePoint Financial and Cetera Advisors.
Howard Kavinsky: Ex-B. Riley Advisor Lands $760K Complaint
UPDATED: Carlson Law, P.A. is currently representing a former customer of Howard Kavinsky. Charlotte, North Carolina financial advisor Howard Kavinsky (CRD# 5881623) recently received an investor complaint alleging that he provided misleading information. Financial Industry Regulatory Authority records show that the former B. Riley Wealth Management representative is currently registered as a broker with… Read More »
Derrick Brauner: $54K Bond Complaint Against Grand Glaize Advisor
Osage Beach, Missouri financial advisor Derrick Brauner (CRD# 6082847) 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 Moloney Securities, doing business as Grand Glaize Wealth Management.
