While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty,...
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Muhammad Wahdy: Merrill Lynch Fired Wahdy Capital Advisor
San Francisco financial advisor Muhammad Wahdy (CRD# 6266210) was recently fired by Merrill Lynch in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Wahdy Capital.
Don Hancock: SEC Investigates Moloney Securities CEO
Manchester, Missouri financial advisor Don Hancock (CRD# 828811) is under investigation by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, where he serves as the firm’s Chief Executive Officer. Mr. Hancock’s BrokerCheck report discloses the SEC investigation into his… Read More »
Chris Haberl: Did Centaurus Advisor Recommend GWG L Bonds?
At least one current or former customer of Centaurus Financial advisor Chris Haberl (CRD# 2279941) is listed as a creditor for investments in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records disclose investments totaling $90,000. Financial Industry Regulatory Authority records show that he is a broker… Read More »
Mike Wallace: Ex-Independence Capital Advisor’s Client Invested in GWG
At least one current or former client of former Independence Capital Company advisor Mike Wallace (CRD# 2237683) is listed in public records as a creditor for an investment in GWG Holdings preferred stock. Filed with a US bankruptcy court, these records disclose an investment of $88,508.35. Financial Industry Regulatory Authority records show that Mr…. Read More »
Jane Prugsanapan: CFI Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Jane Prugsanapan (CRD# 5270442) is listed as a creditor for an investment in GWG L bonds, according to public records. These records, filed with a US bankruptcy court, disclose an investment of $80,000. Financial Industry Regulatory Authority records show that Ms. Prugsanapan, who… Read More »
Pamela Jacobs: Did Frontier Wealth Advisor Recommend GWG L Bonds?
At least one current or former customer of Frontier Wealth Strategies advisor Pamela Jacobs (CRD# 3064512) is listed in public records as a creditor for an investment in GWG Holdings L bonds and/or preferred stock. Filed with a bankruptcy court in Texas, these records describe an investment of more than $80,000. Securities and Exchange… Read More »
Shane Desherlia: $100K-$500K Bond Complaint Against Moloney Advisor
Moloney Securities financial advisor Shane Desherlia (CRD# 6800960) recently received investor complaints alleging negligence in connection with a corporate bond investment. At least one current or former customer of his is listed a creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records… Read More »
Harrison Chang: WIS Advisor’s Clients Are GWG Creditors
At least two current or former customers of Western International Securities advisor Harrison Chang (CRD# 4183646) are listed as creditors for investments in GWG L bonds, according to public records filed with a US bankruptcy court. These records describe investments totaling $350,000. Financial Industry Regulatory Authority records show that he is based in Pasadena,… Read More »
Ryan Burnham: Centaurus Advisor Linked to GWG L Bond Sales
At least one current or former customer of Centaurus Financial advisor Ryan Burnham (CRD# 5066139) is listed as a creditor for an investment in GWG L bonds, according to public records. Filed with a US bankruptcy court in Texas, these records describe a total investment of $125,000. Financial Industry Regulatory Authority records show that… Read More »
Robert Barghini: Former Ausdal Advisor Faces GWG Complaint
At least one current or former customer of former Ausdal Financial Partners advisor Robert Barghini (CRD# 3141715) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a US bankruptcy court in Texas, these records describe investments totaling $200,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
