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Recent Blog Posts

Shawn Patt: Complaint Against Ex-RBC Advisor Settles for $92K

By Chase Carlson |

Calabasas, California financial advisor Shawn Patt (CRD# 4484268) recently received an investor complaint that reached a settlement exceeding $90,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former RBC Capital Markets broker is currently registered as an investment advisor with Atala Financial.

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Dan Ahlrichs: Why Did Upstream Advisor Resign from Northwestern?

By Chase Carlson |

Bellevue, Washington financial advisor Dan Ahlrichs (CRD# 5531884) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with LPL Financial, doing business as Upstream Investment Partners.

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Trent White: Ex-Vanguard Advisor Received Bond Complaint

By Chase Carlson |

Scottsdale, Arizona financial advisor Trent White (CRD# 5592137) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Vanguard broker is currently registered as an investment advisor with Omnia Wealth Management.

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Gali Horev: $394K Complaint Against Dempsey Lord Smith Advisor

By Chase Carlson |

A recent investor complaint against Irvine, California financial advisor Gali Horev (CRD# 5138931) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, as well as a representative of HN Financial Group.

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Kelly Hejtmancik: MassMutual Advisor Lands $91K Complaint

By Chase Carlson |

Houston financial advisor Kelly Hejtmancik (CRD# 4535262) 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 MML Investors Services, also known as MassMutual.

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Keyan Keys: Did Edward Jones Advisor Misappropriate Funds?

By Chase Carlson |

A recent investor complaint against Childress, Texas financial advisor Keyan Keyes (CRD# 6942965) alleges that he misappropriated client funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.

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Paul Murans: $500K Complaint Against Thurston Springer Advisor

By Chase Carlson |

Indianapolis financial advisor Paul Murans (CRD# 3266607) recommended an unsuitable senior life settlement portfolio, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Thurston Springer, having previously been registered with UBS Financial Services.

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Maria Valido: $100K-$500K Complaint Against Ex-Infinex Advisor

By Chase Carlson |

Former Miami, Florida financial advisor Maria Valido (CRD# 6324596) has received multiple investor complaints alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Infinex Investments.

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Mark Bruscianelli: JBT Wealth Advisor Receives $260K Complaint

By Chase Carlson |

Chicago financial advisor Mark Bruscianelli (CRD# 4177839) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management, doing business as JBT Wealth Management.

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Guy Clemente: $750K Complaint Against Ex-Andrew Garrett Advisor

By Chase Carlson |

New York City financial advisor Guy Clemente (CRD# 1222597) recently received an investor complaint alleging that his conduct resulted in damages exceeding $700,000. Financial Industry Regulatory Authority records show that he is registered with Aegis Capital, having previously been registered with Andrew Garrett. Mr. Clemente’s BrokerCheck report discloses multiple investor complaints. The most recent,… Read More »

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Latest Blog Posts
  • Shawn Patt: Complaint Against Ex-RBC Advisor Settles for $92K

    Calabasas, California financial advisor Shawn Patt (CRD# 4484268) recently received an investor complaint that reached a settlement exceeding $90,000. Financial...

    Read More
  • Dan Ahlrichs: Why Did Upstream Advisor Resign from Northwestern?

    Bellevue, Washington financial advisor Dan Ahlrichs (CRD# 5531884) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule...

    Read More
  • Trent White: Ex-Vanguard Advisor Received Bond Complaint

    Scottsdale, Arizona financial advisor Trent White (CRD# 5592137) recently received an investor complaint alleging that his conduct resulted in losses....

    Read More
  • Gali Horev: $394K Complaint Against Dempsey Lord Smith Advisor

    A recent investor complaint against Irvine, California financial advisor Gali Horev (CRD# 5138931) alleges that his conduct resulted in six-figure...

    Read More
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