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Recent Blog Posts

Paul Meyer: Did RBC Advisor Make Unauthorized Trades?

By Chase Carlson |

Paul Meyer (CRD# 3062534), an advisor based in Minnetonka, recently received investor complaints alleging he engaged in misconduct that resulted in losses. Records maintained by the Financial Industry Regulatory Authority, a private corporation overseeing its member broker-dealer firms, show that he is a broker and an investment advisor with RBC Capital Markets.

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Rene Castro: Did Upland Advisor Sell Unsuitable GWG L Bonds?

By Chase Carlson |

A recent investor complaint against Upland, California financial advisor Rene Castro (CRD# 2559410) alleged that he recommended unsuitable GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with Great Point Capital in Chicago and an investment advisor with Retirement Wealth Management in Upland. 

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Edward Yoon: Investors Complain About Ex-First Allied Advisor

By Chase Carlson |

Recent investor complaints against Pasadena financial advisor Edward Yoon (CRD# 2408137) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered with Cetera Advisors and Cetera Investment Advisers, and that he has been a representative of Harvest Financial. He is also registered with the firm’s offices in Rancho… Read More »

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Private Placement Complaint Against Bill Braun, Boca Raton Advisor

By Chase Carlson |

Bill Braun (CRD# 1271500), a financial advisor with B. Riley Wealth Management, has received multiple investor complaints alleging he recommended unsuitable investments and engaged in other forms of misconduct. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor based in Boca Raton, Florida.

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Clinton Curtright: New Investor Complaint Against San Diego Advisor

By Chase Carlson |

A new investor complaint against Morgan Stanley advisor Clinton Curtright (CRD# 5921560) alleges he provided misleading information and violated an important securities industry rule. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in San Diego, California. 

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Mike Brinton: Apollon Wealth Denies Claim Against Nashville Advisor

By Chase Carlson |

Apollon Wealth Management advisor Mike Brinton (CRD# 1565431) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Zermatt Securities broker, who is also an investment advisor with Terra Wealth, is based in Nashville, Tennessee.

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Stu Pearl: Unauthorized Trading Complaint Against Racine Advisor

By Chase Carlson |

A new investor complaint against International Assets Investment Management advisor Stu Pearl (CRD# 1500833) alleges unauthorized trading. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former David A. Noyes & Company broker is currently based in Racine, Wisconsin.

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GWG Complaint Against McDaniel Corporation’s Craig McDaniel

By Chase Carlson |

An investment in GWG Holdings forms the basis of a recent investor complaint against Craig McDaniel (CRD# 1087979). Financial Industry Regulatory Authority records show that the Columbia, South Carolina advisor is a representative of The McDaniel Corporation, which offers securities through Capital Investment Group. 

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Steve Kwan: Austin Advisor Sanctioned over GPB Auto Sales

By Chase Carlson |

Earlier this month, securities regulators in Texas sanctioned Insight Wealth Management advisor Steve Kwan (CRD# 3183681). According to records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission, the Austin, Texas representative was suspended in connection with allegations he sold unsuitable investments in GPB Automotive.

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Investor Complaint Against Tom Prichard, Edward Jones Advisor

By Chase Carlson |

Liberty, Missouri financial advisor Tom Prichard (CRD# 6488840) allegedly failed to follow instructions, according to an investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Edward Jones. 

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