Elma, New York financial advisor Craigg McRae (CRD# 4697209) was recently sanctioned and suspended in connection with alleged rule violations....
Read MoreRecent Blog Posts
John Nole: Paulson Advisor’s Clients Listed as GWG Creditors
Records filed with a US bankruptcy court disclose that at least six current or former customers of Paulson Investment Company advisor John Nole (CRD# 1609191) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $1 million. Records maintained by the Financial Industry… Read More »
Oppenheimer Advisor Guy Presutti Faces $1.45mm Fraud Complaint
Boston financial advisor Guy Presutti (CRD# 1196621) recently received an investor complaint alleging fraud, breach of fiduciary duty, unsuitable investment recommendations, and other forms of misconduct. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Oppenheimer & Company.
Jason Walsh: $3.7 Million Complaint Against Ex-Network 1 Advisor
Hauppauge, New York financial advisor Jason Walsh (CRD# 5758243) is involved in an investor complaint alleging damages of more than $3 million. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker with PHX Financial, having previously been registered with Network 1 Financial Securities and Joseph Gunnar & Company.
Colin Mansfield: $300K Complaint Against Global Wealth Advisor
A recent investor complaint against San Jose financial advisor Colin Mansfield (CRD# 4643275) alleges six-figure damages resulting from misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with DFPG Investments, doing business as Global Wealth Partners.
Samuel Sutterfield: Elevate Wealth Advisor Denies $100K Bond Complaint
Centaurus Financial advisor Samuel Sutterfield (CRD# 5988560) is involved in an investor complaint alleging $100,000 damages stemming from investments in corporate bonds and real estate. Publicly available records filed with a US bankruptcy court in Texas, meanwhile, list at least one current or former client of his as creditor for an investment in a… Read More »
Nate Goldenberg: NextWave Advisor’s Client Listed as GWG Creditor
Records filed with a US bankruptcy court disclose that at least one current or former client of NextWave Financial advisor Nate Goldenberg (CRD# 2154719) is listed as creditor for an investment in GWG Holdings preferred stock. The records describe an investment of $205,000. Securities and Exchange Commission records show that Mr. Goldenberg is currently… Read More »
Otto Bohon Jr.: $100K Bond Complaint Against Ex-Centaurus Advisor
At least one former client of former Centaurus Financial advisor Otto Bohon Jr. (CRD# 5677597) is listed as a creditor for an investment in a GWG L Bond, according to records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that the former Tucson-based advisor has received multiple investor complaints regarding… Read More »
Mark Upchurch: Ex-Centaurus Advisor Faces $500K Bond Complaint
At least one former client of ex-Centaurus Financial advisor Mark Upchurch (CRD# https://brokercheck.finra.org/individual/summary/2937074) is listed as a creditor for an investment in a GWG L Bond, per records filed with a US bankruptcy court. These records detail an investment of $100,000. Financial Industry Regulatory Authority records show that Mr. Upchurch was most recently based… Read More »
Matt Hawkins: Cola Wealth Advisor Received Bond Complaint
At least one former client of Centaurus Financial advisor Matt Hawkins (CRD# 5731136) is listed as a creditor for an investment in an L Bond product issued by GWG Holdings, according to records filed with a US bankruptcy court. These records describe an investment of $140,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Mark Reisbord: Centaurus Advisor’s Client Among GWG L Bond Creditors
Records filed with a US bankruptcy court reveal that at least one former client of Centaurus Financial advisor Mark Reisbord (CRD# 1017607) is listed as a creditor for an investment in an L Bond issued by GWG Holdings. The records describe an investment of $120,000. Financial Industry Regulatory Authority records show that Mr. Reisbord… Read More »
