While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty,...
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James Appel: Centaurus Advisor Faces $150K Complaint
Santa Barbara financial advisor James Appel (CRD# 6445389) recently received an investor complaint alleging he misrepresented a bond investment, leading to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial.
Jim Saar: Ex-Center Street Advisor Faces $150K Complaint
Former Center Street Securities advisor Jim Saar (CRD# 1358375) allegedly recommended an unsuitable investment, according to a recent investor complaint. Additionally, a former customer of his is listed as creditor for an $80,000 L bond investment, according to public records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that he… Read More »
David Yu: IFP Advisor Faces $76K GWG Complaint
At least one current or former customer of IFP Securities advisor David Yu (CRD# 5484970) is listed as creditor for an investment in GWG Holdings preferred stock, according to public records. He has also received an investor complaint in connection with a GWG Holdings investment. Filed with a US bankruptcy court in Texas, these… Read More »
Ivan Gefen: $1mm Complaint Against Newbridge Advisor
Boca Raton financial advisor Ivan Gefen (CRD# 1229418) allegedly engaged in conduct that resulted in damages of more than $1 million, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities and Newbridge Financial Services Group, respectively.
Rush Hodgin: $350K Complaint Against Hodgin Chapman Advisor
Pittsburgh financial advisor Rush Hodgin (CRD# 2169424) recently received an investor complaint alleging his conduct resulted in more than $350,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, where he is a member of the practice Hodgin, Chapman & Associates.
Theresa Allen: $300K Complaint Against Ex-First Republic Advisor
A recent investor complaint against Newport Beach financial advisor Theresa Allen (CRD# 2183693) alleges six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with RBC Capital Markets, having previously been registered with First Republic Securities Company.
Curtis Sathre III: Did JRP Capital Advisor Sell GWG Stock?
At least one current or former customer of JRL Capital advisor Curtis Sathre III (CRD# 2459115) is listed as creditor for an investment in GWG Holdings preferred stock, according to public records filed with a US bankruptcy court. These records describe an investment of $100,583. Financial Industry Regulatory Authority records show that the Irvine,… Read More »
Chris Weismiller: Did Directional Wealth Advisor Sell GWG L Bonds?
At least two current or former customers of IFP Securities financial advisor Chris Weismiller (CRD# 5360051) are listed in public records as creditors for investments in GWG L bonds and/or preferred stock. Filed with a bankruptcy court in Texas, these records disclose investments of $300,000 in total. Financial Industry Regulatory Authority records show that… Read More »
West Advisory’s Walter West: Clients Invested in GWG Holdings
At least two current or former customers of West Advisory Group financial advisor Walter West (CRD# 2167649) are listed as creditors for investments in GWG L bonds and/or preferred stock, according to a recent investor complaint. Filed with a US bankruptcy court in Texas, these records disclose investments totaling more than $250,000. Securities and… Read More »
Mike Kloubec: Did Ameriprise Advisor Steal Investor Funds?
Monticello, Minnesota financial advisor Mike Kloubec (CRD# 2415021) recently received an investor complaint alleging he committed theft. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, and that he has received other investor complaints.
