Lake Oswego, Oregon financial advisors Paul McIntyre (CRD# 1002368) and Al Dinicola (CRD# 1305518) allegedly recommended unsuitable transactions, according to...
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Hugo Hernandez: MassMutual Advisor Faces Misappropriation Complaint
El Paso, Texas financial advisor Hugo Hernandez (CRD# 6446187) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, having previously been registered with NYLife Securities.
Robert De Vita: Ausdal Advisor Lands GWG L-Bond Complaint
Downers Grove, Illinois financial advisor Robert De Vita (CRD# 1865964) recently received an investor complaint alleging that he violated securities laws and industry rules in connection with the sale of GWG L-bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ausdal Financial Partners.
Joseph Storzinger: $400K Complaint Against IBN Advisor
Liverpool, New York financial advisor Joseph Storzinger (CRD# 2554671) recently received an investor complaint alleging that his conduct resulted in $400,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with IBN Financial Services and an investment advisor with IBN Advisory Services.
Larry Ware: Envision Advisor Faces Structured Product Complaint
Recent investor complaints against Graham, North Carolina financial advisor Larry Ware (CRD# 3053841) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Avantax, doing business as Envision Wealth Partners.
Brian Nelson: Primerica Advisor Faces Mutual Fund Complaint
Grand Prairie, Texas financial advisor Brian Nelson (CRD# 5779195) allegedly made an unauthorized withdrawal from a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with PFS Investments, also known as Primerica.
Brian Beh: FINRA Investigates Frontier Solutions Advisor
Richmond, Virginia financial advisor Brian Beh (CRD# 1500962) is under investigation by financial industry regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is a broker registered with Frontier Solutions and a representative of Beh Investment Partners.
Mike Shatsky: Sky Alpha Advisor Receives $788K Complaint
Boca Raton financial advisor Mike Shatsky (CRD# 2430683) recently received an investor complaint alleging that he misrepresented an investment, resulting in damages exceeding $700,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Oppenheimer & Company broker is currently registered as an investment advisor with Sky Alpha Asset Advisors.
Chad Bridgers: Cabot Lodge Advisor Faces $400K GWG L-Bond Complaint
Fayetteville, Arkansas financial advisor Chad Bridgers (CRD# 2475641) recently received an investor complaint alleging that a GWG L-bond investment resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cabot Lodge Securities and an investment advisor with CL Wealth Management.
Alex Paredes-Malaga: $750K Complaint Against Merrill Lynch Advisor
A recent investor complaint against Brea, California financial advisor Alex Paredes-Malaga (CRD# 7191576) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Michelle Neuhalfen: Bankers Life Denies $782K Complaint Against Advisor
New Bern, Connecticut financial advisor Michelle Neuhalfen (CRD# 7206531) allegedly made unsuitable investment recommendations, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Bankers Life Securities and an advisor with Bankers Life Advisory Services.
