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Recent Blog Posts

Kingswood Advisor Brady Fuchs Receives Oil & Gas Complaint

By Chase Carlson |

San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.

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Bill Sines: New Complaint Against Senior Financial Services Advisor

By Chase Carlson |

Multiple investor complaints against Seminole, Florida financial advisor Bill Sines (CRD# 2190586) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Berthel Fisher & Company Financial Services, doing business as Senior Financial Services.

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Jason Rossi: $203K Complaint Against Aegis Capital Broker

By Chase Carlson |

Melville, New York financial advisor Jason Rossi (CRD# 4384426) allegedly churned investments and made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that the Aegis Capital broker has also been in involved in an investor complaint that reached a settlement.

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Lone Star Advisor Charles Bryant: $200K Suitability Complaint

By Chase Carlson |

Sarasota financial advisor Charles Bryant (CRD# 5346404) is involved in an investor complaint alleging he provided unsuitable investment advice that resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with LPL Financial, doing business as Lone Star Wealth Management.

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FINRA Sanctions Ahmed Gheith, Ex-Noble Capital Markets Advisor

By Chase Carlson |

Securities regulators recently sanctioned Staten Island financial advisor Ahmed Gheith (CRD# 5783951) in connection with allegations he improperly solicited private placement investments. Financial Industry Regulatory Authority records show that he is a broker with Ceros Financial Services and was formerly registered with Noble Capital Markets.

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Ex-Oppenheimer Advisor Iris Israel: $36 Million Horizon Fund Award

By Chase Carlson |

More than two dozen complaints against former Atlanta broker Iris Israel (CRD# 1547363) allege that she participated in a Ponzi scheme, with one such complaint resulting in a $36 million arbitration award. Financial Industry Regulatory Authority records show that she was formerly a representative of Oppenheimer & Company and is currently a representative of… Read More »

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Sandy Steinberg: Bond Complaint Against Boca Raton AGP Advisor

By Chase Carlson |

A recent investor complaint against Boca Raton financial advisor Sandy Steinberg (CRD# 834205) alleges that his investment advice resulted in damages exceeding $350,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with AGP/Alliance Global Partners.

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Chris Dukes: GWG L Bond Complaint Against Dukes Financial Advisor

By Chase Carlson |

An investor complaint against Thousand Oaks, California financial advisor Chris Dukes (CRD# 4712873) alleges that he recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with WestPark Capital, doing business as Dukes Financial and Insurance Services.

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Jon Rice: ETF Complaint Against Raymond James Advisor

By Chase Carlson |

Louisville, Kentucky and George Island, Florida financial advisor Jon Rice (CRD# 4961184) allegedly recommended unsuitable investments, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investor advisor with Raymond James & Associates.

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Armando Roman: $3.5 Million Complaint Against AXIOM Advisor

By Chase Carlson |

Scottsdale financial advisor Armando Roman (CRD# 4414526) has received two investor complaints alleging he over-concentrated unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records indicate that the former Independent Financial Group broker is currently an investment advisor with AXIOM Founders Family Office.

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Latest Blog Posts
  • Kingswood Advisor Brady Fuchs Receives Oil & Gas Complaint

    San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure...

    Read More
  • Bill Sines: New Complaint Against Senior Financial Services Advisor

    Multiple investor complaints against Seminole, Florida financial advisor Bill Sines (CRD# 2190586) allege that he recommended unsuitable investments. Financial Industry...

    Read More
  • Jason Rossi: $203K Complaint Against Aegis Capital Broker

    Melville, New York financial advisor Jason Rossi (CRD# 4384426) allegedly churned investments and made unauthorized trades, according to a recent...

    Read More
  • Lone Star Advisor Charles Bryant: $200K Suitability Complaint

    Sarasota financial advisor Charles Bryant (CRD# 5346404) is involved in an investor complaint alleging he provided unsuitable investment advice that...

    Read More
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