Investors who suffered losses in on investments in Spring Hill Holdings may have recovery options. The company, an owner and...
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Cetera Advisor Stephen Lawler: Complaint Settles for $425K
Peoria, Illinois financial advisor Stephen Lawler (CRD# 1193477) has received multiple investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors and Cetera Investment Advisors, respectively, having previously been registered with First Allied Securities.
Ex-National Securities Advisor Michael Blueweiss Lands $100K Complaint
Melville, New York financial advisor Michael Blueweiss (CRD# 728969) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Arete Wealth Management, having previously been registered with National Securities Corporation.
Timothy Judson: Ex-Royal Alliance Advisor Faces $100K-$500K Complaint
McLean, Virginia financial advisor Timothy Judson (CRD# 709195) allegedly recommended unsuitable investments that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Osaic Wealth, having previously been registered with Royal Alliance Associates.
Joseph Johnson: $300K Complaint Against Vanderbilt Advisor
A recent investor complaint against Woodbury, New York financial advisor Joseph Johnson (CRD# 1312422) alleged that his trading resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Joel Farnsworth: $4.2 Million Bond Complaint Against Wedbush Advisor
Los Angeles financial advisor Joel Farnsworth (CRD# 1980052) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wedbush Securities, and that he is also registered with the firm’s office in Tyler, Texas.
Randy Barkhurst: Pruco Advisor Faces $500K Complaint
Tualatin, Oregon financial advisor Randy Barkhurst (CRD# 2104888) recently received an investor complaint that alleges his conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Pruco Securities and an investment advisor with Prudential Financial Planning Services.
Nir Regev: Complaint Against DFPG Advisor Settles for $287K
A recent investor complaint against St. Louis financial advisor Nir Regev (CRD# 1847410) reached a settlement of more than $250,000. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with DFPG Investments, having previously been registered with VSR Financial Services.
Peter Clarke: Rockefeller Advisor Faces $6.3 Million Complaint
Palm Beach Gardens, Florida financial advisor Peter Clarke (CRD# 1400419) recently received an investor complaint alleging his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Truist Investment Services.
Drew Peters: Aegis Advisor’s Clients Listed as GWG Creditors
Publicly available records indicate that at least three current and/or former clients of Aegis Capital advisor Drew Peters (CRD# 5348622) are listed as creditors for investments in GWG Holdings preferred stock. The records, filed with a US bankruptcy court in Texas, describe investments totaling at least $327,000. Records maintained by the Financial Industry Regulatory Authority show that Mr…. Read More »
Adam Donlevie: Tremblay Financial Advisor Denies Bond Complaint
A recent investor complaint against Santa Barbara financial advisor Adam Donlevie (CRD# 5369320) alleges that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Tremblay Financial Services.
