Rochester, New York financial advisor Tami Wihlen (CRD# 2712926) recently received an investor complaint alleging that her conduct resulted in...
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Gregory Stevens: Churning Complaint Against Laidlaw Advisor
Investor complaints against Garden City, New York financial advisor Gregory Stevens (CRD# 5787662) allege churning, unsuitable recommendations, and other forms of misconduct. Financial Industry Regulatory Authority records indicate that he is a broker with Spartan Capital Securities, having previously been registered with Joseph Stone Capital and Laidlaw & Company.
Caroline Ehlers: Illinois Investigates Alleged Fraud by Schwab Advisor
A recent regulatory investigation of Lone Tree, Colorado financial advisor Caroline Ehlers (CRD# 7410093) alleges that she engaged in deceitful practices that violated securities law. Records provided by the Financial Industry Regulatory Authority indicate that she is a broker with Charles Schwab & Company.
Ed Kasperavich: $300K GWG L Bond Complaint Against Stonecrest Advisor
Ridgewood, New Jersey financial advisor Ed Kasperavich (CRD# 4970038) allegedly provided poor advice concerning an investment in GWG L bonds, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Stonecrest Capital Markets and an investment advisor with Stonecrest Advisors.
Michael Murray: SEC Investigates NYC Laidlaw Advisor
New York City financial advisor Michael Murray (CRD# 5034449) is under investigation by the Securities and Exchange Commission in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is a broker with Laidlaw & Company.
Integrated Financial Partners’ Cole Smith: $100K Oil & Gas Complaint
Fairfax, Virginia financial advisor Cole Smith (CRD# 5327357) is involved in an investor dispute alleging his advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with LPL Financial and an investment advisor with Integrated Wealth Concepts, doing business as Integrated Financial Partners.
Brent Burgesser: Why Did Brookwood Advisor Resign from Belpointe?
Phoenix financial advisor Brent Burgesser (CRD# 3278147) recently resigned from Belpointe Asset Management in connection with alleged policy violations. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former International Assets Advisory broker is currently an investment advisor with Brookwood Investment Group.
Todd Cirella: FINRA Sanctions Laidlaw Advisor over Trading Allegations
Melville, New York financial advisor Todd Cirella (CRD# 2396336) allegedly recommended excessive and unsuitable trades in a senior customer’s account, according to a recent regulatory sanction. Financial Industry Regulatory Authority records indicate that he is a broker with Laidlaw & Company.
Dan McPherson: $500K Complaint Against Ex-Cetera Advisor
An investor complaint against Idaho Falls financial advisor Dan McPherson (CRD# 4964802) alleges that his investment advice resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Cetera Advisors broker is currently an investment advisor with CG Advisory Services.
Orion Wealth’s Antoine Shamlee Lands $224K Investor Complaint
A new investor complaint against Boca Raton financial advisor Antoine Shamlee (CRD# 4750442) alleges that his conduct resulted in damages of more than $200,000. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation, doing business as Orion Wealth Management.
Michael Finnie: Regulators Sanction LPL/Finnie Capital Advisor
Midlothian, Virginia financial advisor Michael Finnie (CRD# 2112495) allegedly placed investors in securities they had no experience investing in, according to a recent regulatory enforcement action. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with LPL Financial, doing business as Finnie Capital Management.
