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
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.
Michael Tannery: $150K Complaint Against Tannery Company Advisor
A recent investor complaint against Richardson, Texas financial advisor Michael Tannery (CRD# 1538345) 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 Independent Financial Group, doing business as Tannery Company.
Jeffrey Bangerter: $85K Complaint Against Bangerter Financial Advisor
Recent investor complaints against Roseville, California financial advisor Jeffrey Bangerter (CRD# 1687028) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Concorde Investment Services and Concorde Asset Management, respectively, doing business as Bangerter Financial Services.
Tom Rapp: Greenberg & Rapp Advisor Faces $1.2mm Complaint
Morristown, New Jersey financial advisor Tom Rapp (CRD# 1792438) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with M Holdings Securities, and that he is a principal at Greenberg and Rapp Financial… Read More »
Rob Restino: $500K Complaint Against Pinnacle Financial Advisor
Wellington, Florida financial advisor Rob Restino (CRD# 2070863) recently received an investor complaint alleging that he misled a client. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Lincoln Investment, doing business as Pinnacle Financial Advisors.
Eliab Alonzo: GoldenBridge Advisor Faces Suitability Complaint
McAllen, Texas financial advisor Eliab Alonzo (CRD# 5098689) allegedly recommended an unsuitable 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 Cetera, as well as a representative of GoldenBridge Wealth.
Beau McNicholas: Financial Landscaping Advisor Lands Complaint
Brooklyn, New York financial advisor Beau McNicholas (CRD# 4199745) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Financial Landscaping.
Enrique Pascual: $635K Complaint Against Stonecrest Advisor
A recent investor complaint against San Juan, Puerto Rico financial advisor Enrique Pascual (CRD# 2184412) alleges that he recommended an unsuitable investment in a promissory note. Financial Industry Regulatory Authority records show that he is registered as a broker with Stonecrest Capital Markets.
Jerry Hanifan: Estate Planning Center Advisor Faces $50K Complaint
West Jefferson, North Carolina financial advisor Jerry Hanifan (CRD# 2286666) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with USA Financial Securities, and that he is the president of Estate Planning Center.
