Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Recent Blog Posts

Karen Geiger: Former Ohio Advisor Has $1 Million GWG L Bond Complaint

By Chase Carlson |

Cape Securities financial advisor Karen Geiger (CRD# 1456604) recently received an investor complaint alleging more than $1 million in damages connected to a GWG L bonds investment. Financial Industry Regulatory Authority records show that she is registered as a broker in McDonough, Georgia, having formerly been registered with Wall Street Securities in Akron, Ohio… Read More »

Facebook Twitter LinkedIn

Michael Ning: $1.7 Million GWG Complaint Against Scottsdale Advisor

By Chase Carlson |

Arque Capital financial advisor Michael Ning (CRD# 3088956) recently received a seven-figure investor complaint concerning investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.

Facebook Twitter LinkedIn

Neil Nissen: $800K Complaint Against Melville MML Advisor

By Chase Carlson |

A recent investor complaint against Melville, New York financial advisor Neil Nissen (CRD# 3088956) alleges six-figure damages stemming from alleged forgeries and misrepresentations of material facts. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with MML Investors Services.

Facebook Twitter LinkedIn

Justin Dieter: $104K Complaint Against Spartan Capital Advisor

By Chase Carlson |

Garden City, New York financial advisor (CRD# 5225102) has received multiple investor complaints alleging that his investment recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Spartan Capital Securities, having previously affiliated with Allied Millennial Partners and Aegis Capital.

Facebook Twitter LinkedIn

James Cavalier: REIT Complaint Against Ex-Ameriprise Advisor

By Chase Carlson |

Former New Brighton, Minnesota financial advisor James Cavalier (CRD# 1579594) recently received an investor complaint alleging misconduct related to REIT and annuity investments. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services broker and investment advisor is not currently registered with any FINRA member firm.

Facebook Twitter LinkedIn

Peter Ferraro: $75K Complaint Against Moloney Securities Advisor

By Chase Carlson |

Manchester, Missouri financial advisor Peter Ferraro (CRD# 2386025) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Moloney Securities and that he has been sanctioned by securities regulators.

Facebook Twitter LinkedIn

Carey James: $66K Complaint Against James Financial Advisor

By Chase Carlson |

Arroyo Grande, California financial advisor Carey James (CRD# 1420763) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Centaurus Financial, doing business as James Financial Group.

Facebook Twitter LinkedIn

Wells Fargo’s Peter Ermogenous: Complaint Settles for $90K

By Chase Carlson |

Carle Place financial advisor Peter Ermogenous (CRD# 5257901) has received several investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Clearing Services, having previously been registered with Citigroup Global Markets and Capital One Investing. 

Facebook Twitter LinkedIn

Michael Desando: FINRA Suspends Red Bank Advisor

By Chase Carlson |

The Financial Industry Regulatory Authority (FINRA) recently sanctioned Network 1 Financial Securities advisor Michael Desando (CRD# 1849321). FINRA records show that the Red Bank, New Jersey broker allegedly engaged in excessive and unsuitable trading in a customer’s account and has been suspended for three months. 

Facebook Twitter LinkedIn

John Townshend: Regulators Sanctions Tulsa Advisor

By Chase Carlson |

Palm Beach Capital Corporation financial advisor John Townshend (CRD# 2784752) was recently sanctioned by state securities regulators in connection with findings of misconduct. Securities and Exchange Commission records show that he is currently registered as an investment advisor in Tulsa, Oklahoma. 

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Karen Geiger: Former Ohio Advisor Has $1 Million GWG L Bond Complaint

    Cape Securities financial advisor Karen Geiger (CRD# 1456604) recently received an investor complaint alleging more than $1 million in damages...

    Read More
  • Michael Ning: $1.7 Million GWG Complaint Against Scottsdale Advisor

    Arque Capital financial advisor Michael Ning (CRD# 3088956) recently received a seven-figure investor complaint concerning investments in GWG Holdings. Financial...

    Read More
  • Neil Nissen: $800K Complaint Against Melville MML Advisor

    A recent investor complaint against Melville, New York financial advisor Neil Nissen (CRD# 3088956) alleges six-figure damages stemming from alleged...

    Read More
  • Justin Dieter: $104K Complaint Against Spartan Capital Advisor

    Garden City, New York financial advisor (CRD# 5225102) has received multiple investor complaints alleging that his investment recommendations led to...

    Read More
  • Previous
  • Next