Former Hauppage, New York financial advisor Joel Benanti (CRD# 4210681) was under investigation for undisclosed outside business activities and private...
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Gisela Lake: KW Securities Advisor Fired by BB Graham & Company
Larkspur, California financial advisor Gisela Lake (CRD# 1121376) was recently fired by BB Graham & Company in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she is currently registered as a broker with KW Securities Corporation.
Chris Pelley: Did Apollon Wealth Advisor Recommend GWG L Bonds?
At least six current or former clients of Denver financial advisor Chris Pelley (CRD# 1609191) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court in Texas, the records describe investments totaling more than $800,000. Financial Industry Regulatory Authority records… Read More »
Todd Gauthier: Truist Advisor Receives Options Complaint
Alpharetta financial advisor Todd Gauthier (CRD# 1429968) recently received an investor complaint alleging misconduct relating to an options investment. Financial Industry Regulatory Authority records show that he is a broker with Truist Investment Services and an investment advisor with Truist Advisory Services.
Kurt Cambier: Did Cambridge Advisor Sell Unsuitable Oil & Gas Product?
Littleton, Colorado financial advisor Kurt Cambier (CRD# 1392482) has received multiple investor complaints alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Centennial Capital Partners.
Plato Guerra: Pro Ace Wealth Advisor Faces ETF Complaint
A recent investor complaint alleges that Camarillo, California financial advisor Plato Guerra (CRD# 4504920) engaged in conduct that resulted in damages in a customer’s account. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with SagePoint Financial, operating under the brand Pro Act Wealth Solutions.
Ryan Hall: $800K Bond Complaint Against Celtic Wealth Advisor
Royal Oak, Michigan financial advisor Ryan Hall (CRD# 5077163) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with LPL Financial, doing business as Celtic Wealth Management.
Hobert Wealth’s Pat Hobert: Clients Listed as GWG Creditors
At least 11 current or former clients of Centaurus Financial advisor Pat Hobert (CRD# 805680) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court in Texas. The records describe investments totaling more than $1 million. Financial Industry Regulatory Authority records show… Read More »
Joseph Beam: GWG Complaints Against Beam & Associates Advisor
Former Flat Rock, North Carolina financial advisor Joseph Beam (CRD# 5407778) allegedly engaged in misconduct in connection with investments in GWG Holdings, according to recent investor complaints. Records filed with a US bankruptcy court in Texas reveal that at least two of his current or former clients are listed as creditors for 6-figure investments… Read More »
FIRST ANNUAL STUDY: THE 2023 STATE OF INVESTMENT FRAUD
See Which Americans are Most At-Risk After a Record $3.82 Billion was Stolen in 2022 In 2022, Americans lost more money to investment fraud than any other type of fraud. According to the Federal Trade Commission (FTC), there was a record $3.82 billion stolen through investment fraud in 2022, which was a 128% increase… Read More »
Goldman Sachs Ayco’s Tom Currie Receives $140K Complaint
Cohoes, New York financial advisor Tom Currie (CRD# 5465944) recently received an investor complaint alleging he gave unsuitable investment advice. Financial Industry Regulatory Authority records show that he is a broker with Goldman Sachs and an investment advisor with Goldman Sachs Ayco Personal Financial Management.
