A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Leonard Rich: Suitability Complaint Against Joseph Gunnar Advisor
A recent investor complaint against Uniondale, New York financial advisor Leonard Rich (CRD# 375427) alleges that he made excessive trades in a customer’s account. Financial Industry Regulatory Authority records show that he is a broker with Joseph Gunnar & Company.
Richard Brown: $368K Annuity Complaint Against Cetera Advisor
Fort Myers financial advisor Richard Brown (CRD# 1595628) has received investor complaints alleging that he recommended unsuitable investments in REITs and other products. Financial Industry Regulatory Authority records show that he is a broker with Cetera Advisor Networks, doing business as Richard Brown Investments.
Steve Stanford: GWG L Bond Complaint Against Portsmouth Advisor
Fairhope, Alabama financial advisor Steve Stanford (CRD# 1686790) allegedly provided misleading advice regarding GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Portsmouth Financial Services.
Rick Harbus: $350K Complaint Against HBW Advisor
Long Beach, California financial advisor Rick Harbus (CRD# 2278654) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Securities and Exchange Commission records show that he is an investment advisor with HBW Advisory Services, having previously been registered as a broker with Cetera Advisor Networks.
Brian Cote: $1 Million Complaint Against Ex-Triad Advisor
A recent investor complaint against Nashville financial advisor Brian Cote (CRD# 4218494) alleged that his conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Gramercy Park Wealth Advisors (GPWA), having previously been registered with Triad Advisors.
Andrew Murdoch: Somerset Advisor Faces $168K iCap Complaint
Portland, Oregon financial advisor Andrew Murdoch (CRD# 4348536) recently received an investor complaint in connection with an iCap Equities private placement. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Somerset Securities and was previously an investment advisor with Somerset Wealth Management.
Cheryl Kitashima: Bond Complaint Against Centaurus Advisor
Seattle financial advisor Cheryl Kitashima (CRD# 729389) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as Kitashima Wealth Advisors.
Kathryn Hackney: SchoolsFirst Advisor Faces $150K REIT Complaint
Orange, California financial advisor Kathryn Hackney (CRD# 1548894) recently received an investor complaint alleging that she recommended unsuitable REITs. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with LPL Financial, doing business as SchoolsFirst Investment Services.
Phillip Atteberry: Creative Planning Advisor Lands $5mm Complaint
Redmond, Oregon financial advisor Phillip Atteberry (CRD# 4247195) recently received an investor complaint alleging that he committed fraud resulting in seven-figure damages. Securities and Exchange Commission records show that he is an investment advisor registered with Creative Planning, having previously been registered with Gupta Wealth Management.
Financial Advisors Are Now Paying College Athletes Through NIL
In the last few months, I have seen evidence of at least three financial advisory firms offering NIL endorsement deals to college athletes. In other words, the financial advisor is paying the athlete for an endorsement. There are likely additional firms doing the same already and it will almost certainly become a new trend… Read More »
