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Max & Randy Birkinbine: Ausdal Advisors Face GWG Complaint

By Chase Carlson |

North Oaks, Minnesota financial advisors Max Birkinbine (CRD# 6836583) and Randy Birkinbine (CRD# 2008599) have received an investor complaint alleging that they recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that both are registered as a broker and an investment advisor with Ausdal Financial Partners.

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Bruce Johnson: L Bond Complaint Against Portsmouth Financial Advisor

By Chase Carlson |

San Francisco financial advisor Bruce Johnson (CRD# 1126862) allegedly misrepresented investments in GWG L bonds, according to an investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Portsmouth Financial Services.

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Cataldo Panici: $355K REIT Complaint Against Wintrust advisor

By Chase Carlson |

Frankfort, Illinois financial advisor Cataldo Panici (CRD# 2112617) recently received an investor complaint alleging damages of more than $300,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wintrust Investments.

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Pamela Calhoun: Ex-Cetera Advisor Faces Structured Product Complaint

By Chase Carlson |

Fruitland Park, Florida financial advisor Pamela Calhoun (CRD# 4216320) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors.

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Hector Villaescuela: $20 Million Complaint Against Bulltick Advisor

By Chase Carlson |

A recent investor complaint against Miami financial advisor Hector Villaescuela (CRD# 4185707) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Bulltick and an investment advisor with Bulltick Wealth Management.

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Tom Cavaliere: $300K Complaint Against Tall Oaks Advisor

By Chase Carlson |

Overland Park, Kansas financial advisor Tom Cavaliere (CRD# 4435562) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with IHT Wealth Management, doing business as Tall Oaks Advisors.

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Michael Frager: $125K Complaint Against FSA Integrated Advisor

By Chase Carlson |

Recent investor complaints against La Jolla, California financial advisor Michael Frager (CRD# 1230622) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Willow Cove Investment Group and an advisor with Balboa Wealth Partners, doing business as FSA Integrated.

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John Pronovost: $100K-$500K Complaint Against Ex-Cambridge Advisor

By Chase Carlson |

Watertown, Connecticut financial advisor John Pronovost (CRD# 1990612) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Osaic Institutions, having previously been registered with Cambridge Investment Research.

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Matt Wilkes: $4.1 Million Complaint Against Greensview Advisor

By Chase Carlson |

Recent investor complaints against Franklin, Tennessee financial advisor Matt Wilkes (CRD# 5409004) allege that he recommended unsuitable insurance policies. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former TrustFirst broker is currently registered as an investment advisor with Greensview Wealth Management.

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Jeff Davidson: FINRA Suspends Ex-Equitable Advisor

By Chase Carlson |

Austin, Texas financial advisor Jeff Davidson (CRD# 4585780) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Equitable Advisors broker is currently registered as an investment advisor with Victory Financial.

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Latest Blog Posts
  • Max & Randy Birkinbine: Ausdal Advisors Face GWG Complaint

    North Oaks, Minnesota financial advisors Max Birkinbine (CRD# 6836583) and Randy Birkinbine (CRD# 2008599) have received an investor complaint alleging...

    Read More
  • Bruce Johnson: L Bond Complaint Against Portsmouth Financial Advisor

    San Francisco financial advisor Bruce Johnson (CRD# 1126862) allegedly misrepresented investments in GWG L bonds, according to an investor complaint....

    Read More
  • Cataldo Panici: $355K REIT Complaint Against Wintrust advisor

    Frankfort, Illinois financial advisor Cataldo Panici (CRD# 2112617) recently received an investor complaint alleging damages of more than $300,000. Financial...

    Read More
  • Pamela Calhoun: Ex-Cetera Advisor Faces Structured Product Complaint

    Fruitland Park, Florida financial advisor Pamela Calhoun (CRD# 4216320) recently received an investor complaint alleging that she recommended an unsuitable...

    Read More
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