Former Avoca, Pennsylvania financial advisor Justine Cantafio (CRD# 6158299) has been suspended in connection with allegations of forgery and unauthorized...
Read MoreRecent Blog Posts
Greg Suzio: Merrill Lynch Advisor Faces 6-Figure Complaint
Auburn Hills, Michigan financial advisor Greg Suzio (CRD# 5309403) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of McGill Suzio Group, a… Read More »
Todd Rustman: $830K Complaint Against Clarity Capital Advisor
Newport Beach, California financial advisor Todd Rustman (CRD# 2453708) recently received an investor complaint alleging that his conduct resulted in damages exceeding $800,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services and an investment advisor with Clarity Capital Partners.
Carlson Law Investigating Sam Jacobs of Key Investment Group
Carlson Law is investigating Sam Jacobs of Key Investment Group located in Winter Park, Florida. Jacobs is a registered representative of LaSalle St. Securities. Carlson Law has been retained by a former client of Jacobs. Upon information and belief, Jacobs made high-risk investments in the client’s account(s), causing substantial losses. Carlson Law represents investors… Read More »
Kelley Slaught: California Wealth Advisor Lands $100K Bond Complaint
A recent investor complaint against Santa Barbara, California financial advisor Kelley Slaught (CRD# 1126586) alleges that she made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Centaurus Financial, doing business as California Wealth Advisors.
John Lord: $140K Complaint Against Dempsey Lord Smith Advisor
Calhoun, Georgia financial advisor John Lord (CRD# 1352023) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Dempsey Lord Smith.
Charles Wareheim: Vaylark Advisor Receives REIT Complaint
Hartford, Connecticut financial advisor Charles Wareheim (CRD# 2193537) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Independent Financial Group, doing business as Vaylark Financial Services.
Brian Dreier: $268K REIT Complaint Against Heartland Financial Advisor
Quincy, Illinois financial advisor Brian Dreier (CRD# 2462344) recently received an investor complaint alleging that he provided misleading advice regarding REIT investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as Heartland Financial Advisors.
Mark Beck: $149K Complaint Against Ex-Comerica Advisor
A recent investor complaint against Bloomfield Hills, Michigan financial advisor Mark Beck (CRD# 6665794) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Ameriprise Financial Services.
Logan Cox: $205K Complaint Against Arno Wealth Advisor
Chicago financial advisor Logan Cox (CRD# 6927720) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Arete Wealth and a representative of Arno Wealth.
Martin Walcoe: David Lerner Advisor Faces Energy 11/12 Allegations
Syosset, New York financial advisor Martin Walcoe (CRD# 1593935) is under investigation in connection with allegations of unsuitable sales of Energy 11 and Energy 12, LP. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates.
