Former Hauppage, New York financial advisor Joel Benanti (CRD# 4210681) was under investigation for undisclosed outside business activities and private...
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Markus Byrd: Did Milestone Advisor Recommend Unsuitable Investment?
A recent investor complaint against Dallas financial advisor Markus Byrd (CRD# 2177376) alleges that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services, doing business as Milestone Group.
Mike Hyser: Johns Creek Advisor Denies Atlas Growth Complaint
Johns Creek, Georgia financial advisor Mike Hyser (CRD# 2322261) recently received an investor complaint regarding an investment in Atlas Growth Partners. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services, doing business as Johns Creek Financial.
Jonathan Penaloza: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Jonathan Penaloza (CRD# 6929021) is listed as creditor for an investment in GWG L Bond, according to records filed with a US bankruptcy court in Texas. These records describe an investments of $130,000. Financial Industry Regulatory Authority records show that Mr. Penaloza is registered… Read More »
Vincent Pereira: Did Alexander Capital Advisor Recommend GWG L Bonds?
At least one current or former client of Alexander Capital advisor Vincent Pereira (CRD# 2933058) is listed as creditor for an investment in GWG L Bond, according to records filed with a US bankruptcy court. The records describe investments totaling $100. Financial Industry Regulatory Authority records show that Mr. Pereira is registered as a broker… Read More »
David Escarcega: Center Street Advisor Faces GWG L Bond Complaints
At least two current or former customers of Center Street Securities advisor David Escarcega (CRD# 4367584) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court. These records describe investments totaling more than $300,000. Financial Industry Regulatory Authority records show that the… Read More »
Cliff Shirah: Oil & Gas Complaint Against Appalachian Advisor
A recent investor complaint against Blue Ridge, Georgia financial advisor Cliff Shirah (CRD# 2767896) alleges that he made an unsuitable investment recommendation. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Cabot Lodge Securities and an investment advisor with CL Wealth Management, doing business as Appalachian Asset Management.
$100K Complaint Against Ex-Western International Advisor James Mayes
Azusa, California financial advisor James Mayes (CRD# 2879995) recently received an investor complaint alleging misconduct related to corporate bond investments. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Alexander Capital, having previously been registered with Western International Securities.
Van Washington: REIT Complaint Against UPSTREAM Advisor
The Woodlands, Texas financial advisor Van Washington (CRD# 4651656) allegedly made misrepresentations regarding REIT products, according to a recent, denied investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker with Sigma Financial Corporation and an investment advisor with SPC, doing business as UPSTREAM Investment Partners.
Ronald Burkard: Centaurus Advisor’s Clients Invested $500K+ in GWG
At least four current or former customers of Centaurus Financial advisor Ronald Burkard (CRD# 1017607) are listed as creditors for investment in L Bonds and/or preferred stock issued by GWG Holdings, according to records filed with a US bankruptcy court. The records describe investments totaling more than $500,000. Financial Industry Regulatory Authority records show… Read More »
Inflection Point Advisor Aaron Klemm: Clients Invested in L Bonds
Records filed with a US bankruptcy court show that at least four current or former customers of Independent Financial Partners advisor Aaron Klemm (CRD# 5621542) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $400,000. Financial Industry Regulatory Authority records show that… Read More »
