A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Tim Thelen: $1mm GWG Complaint Against Ex-Aeon Capital Advisor
A recent investor complaint against San Clemente financial advisor Tim Thelen (CRD# 1924966) alleges that he engaged in elder abuse and other forms of misconduct in connection with GWG L bonds and other products. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with American Trust… Read More »
Ex-JP Morgan Advisor Matt Kutcher Faces Investor Complaint
Palm Beach financial advisor Matt Kutcher (CRD# 2456469) is involved in an investor complaint alleging he failed to follow a customer’s instructions. Financial Industry Regulatory Authority records show that the former JP Morgan Securities representative is currently a broker and an investment advisor with Wells Fargo Clearing Services.
Christie Caliva: Commonwealth Advisor Faces Franklin Square Complaint
San Diego financial advisor Christie Caliva (CRD# 5527773) is involved in an investor complaint stemming from an investment in Franklin Square Investment Corp. III. Records provided by the Financial Industry Regulatory Authority show that she is currently registered as a broker and an investment advisor with Commonwealth Financial Network.
Glenn Guilbault Jr.: Nola Wealth Advisor Faces Investor Complaint
A recent investor complaint against Metairie, Louisiana financial advisor Glenn Guilbault Jr. (CRD# 4309287) alleges that his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker with Cetera Advisors, doing business as Nola Wealth Management.
Stan Smith: $250K Complaint Against Wells Fargo Advisor
Burlington, North Carolina financial advisor Stan Smith (CRD# 1317559) allegedly provided unsuitable investment advice to a client, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Wells Fargo Clearing Services.
Mark Ferrer: Cetera Advisor Fired by Raymond James
Wilmington, North Carolina financial advisor Mark Ferrer (CRD# 1053006) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Raymond James representative is currently a broker with Commonwealth Financial Network.
John Forster: Merrill Lynch Advisor Receives $272K Annuity Complaint
A recent investor complaint against Washington, DC financial advisor John Forster (CRD# 1303832) alleges that he failed to act in the investor’s best interest, leading to damages of more than $200,000. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with Merrill Lynch.
Doug Schmitz: Classic Advisor Sanctioned by SEC Over LETFs
Fargo-based financial advisor Doug Schmitz (CRD# 1771132) allegedly recommended unsuitable and over-concentrated investments in leveraged exchange-traded funds to his clients, according to a recent sanction by the Securities and Exchange Commission. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with Classic and an investment advisor… Read More »
Duncan MacEachern: $800K Complaint Against Ex-Centaurus Advisor
A recent investor complaint against Royal Oak financial advisor Duncan MacEachern (CRD# 1856591) alleges that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Celtic Wealth Management Group. Mr. MacEachern’s BrokerCheck report discloses one investor… Read More »
Charles Fagan: Raymond James Denied $303K Complaint
St. Louis financial advisor Charges Fagan (CRD# 5040887) was recently involved in an investor complaint alleging he violated industry standards. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Raymond James Financial Services.
