Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreAuthor Archives: chase@carlson-law.com
Michael Ginestro: $2.4mm Complaint Against Merrill Lynch Advisor
Los Angeles financial advisor Michael Ginestro (CRD# 2468911) recently received an investor complaint alleging that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch. Mr. Ginestro’s BrokerCheck report discloses one investor complaint. Filed… Read More »
Dan Schapiro: $50K Complaint Against Dominari, Ex-Aegis Advisor
New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, doing business as Gotham Equities. He was previously registered with Aegis Capital.
Carl DeMarco: Hornor Townsend Advisor Faces $144K Complaint
A recent investor complaint against Tinton Falls, New Jersey financial advisor Carl DeMarco (CRD# 2671924) 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 Hornor Townsend & Kent, doing business as Primary Financial.
Randy Moening: Aegis Advisor Fired by RBC
Austin, Texas financial advisor Randy Moening (CRD# 3029155) was recently terminated from his position at RBC Capital Markets in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is now registered as a broker with Aegis Capital Corporation.
Jacque Kuchta: UBS Advisor Lands Suitability Complaint
New Orleans, Louisiana financial advisor Jacque Kuchta (CRD# 1819415) 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 UBS Financial Services.
Patrick Morehead: $400K Complaint Against Ex-WestPark Advisor
La Mirada, California financial advisor Patrick Morehead (CRD# 6661646) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was previously registered as a broker with WestPark Capital.
Rosser Newton: $1mm-$5mm Complaint Against Skystone Advisor
A recent investor complaint against Dallas, Texas financial advisor Rosser Newton (CRD# 2616702) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Skystone Securities.
Andrea Bulow: Emerson, Ex-NI Advisor Lands $165K Complaint
San Mateo, California financial advisor Andrea Bulow (CRD# 3071648) 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 Emerson Equity, having previously been registered with NI Advisors.
Rafael Williamson, REIT Complaint Against UBS Advisor
A recent investor complaint against Boston, Massachusetts financial advisor Rafael Williamson (CRD# 2784795) alleges that he misrepresented investments in REITs and variable annuities. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Bill Morrison: $100K-$500K Complaint Against B. Riley Advisor
A recent investor complaint against Oakbrook Terrace, Illinois financial advisor Bill Morrison (CRD# 1556786) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management and an investment advisor with B. Riley Wealth Advisors.
