While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty,...
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Tactical Financial’s Reno Reser: Client Listed as GWG Creditor
At least one current or former customer of Littleton, Colorado financial advisor Reno Reser (CRD# 4206571) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records disclosed an investment of $140,000. Financial Industry Regulatory Authority records show that he is… Read More »
Mike Nielson: Did Nielson Wealth Advisor Recommend GWG?
At least one current or former customer of Nielson Wealth Management advisor Mike Nielson (CRD# 4546896) is listed as creditor for an investment in GWG L bonds. Filed with a US bankruptcy court, the records disclose an investment of $80,000. He has also received an investor complaint in connection with a GWG investment. Financial… Read More »
Michael Bernier: WIS Advisor’s Client Invested in GWG L Bond
At least one current or former client of Western International Securities advisor Michael Bernier (CRD# 2250502) is listed as creditor for a GWG L bond investment, according to public records filed with a US bankruptcy court. These records disclose an investment of $200,000. Financial Industry Regulatory Authority records show that he is a broker… Read More »
Tim Brown: $100K-$500K Complaint Against Emerson Equity Advisor
San Mateo financial advisor Tim Brown (CRD# 1663519) recently received an investor complaint alleging six-figure damages in connection with a corporate bond investment. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity, having previously registered with Newbridge Securities.
Scott Miller: $1.5mm Complaint Against Camelot Wealth Advisor
Boca Raton financial advisor Scott Miller (CRD# 1927089) allegedly provided investment advice that resulted in seven-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, whose website describes him as co-founder of the practice Camelot Wealth Management… Read More »
Avantax Advisor Mark Bushkin: $60K Bond Complaint
Deerfield Beach, Florida financial advisor Mark Bushkin (CRD# 2051696) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services.
Bret Schaefer: Complaint Against Woodbury Advisor Settled for $510K
Recent investor complaints against Antioch, Illinois financial advisor Bret Schaefer (CRD# 2577117) allege unauthorized trading, misrepresentations, and unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker with Landolt Securities, having previously been registered with Woodbury Financial Services.
Stephen Sperling: Wintrust Advisor Faces $50K-$100K Complaint
Palatine, Illinois financial advisor Stephen Sperling (CRD# 3061073) recently received an investor complaint alleging he unsuitably recommended risky non-traded products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wintrust Investments.
Did PHX’s Steros Christoforou Recommend Unsuitable Investment?
An investor complaint against Fort Lauderdale financial advisor Steros Christoforou (CRD# 4407397) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with PHX Financial.
Richard Siminou: Kingswood Advisor Received Investor Complaint
New York City financial advisor Richard Siminou (CRD# 5605796) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors, as well as the owner of Siminou Wealth Management.
