A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Otho Evans: Did RBC Advisor Misrepresent Investments?
Houston financial advisor Otho Evans (CRD# 1199304) allegedly made misrepresentations regarding the investments he recommended, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with RBC Capital Markets. Mr. Evans’ BrokerCheck report discloses one investor complaint. Filed in… Read More »
Alexander Leon: FINRA Investigates Signature Securities Advisor
The Financial Industry Regulatory Authority recently initiated an investigation against Brooklyn financial advisor Alexander Leon (CRD# 2336148) in connection with alleged disclosure failures. FINRA records show that Mr. Leon is currently registered as a broker and an investment advisor with Flagstar Advisors and Signature Securities Group Corporation, respectively.
Greg Foster: $300K Complaint Against UBS Financial Advisor
Wayzata, Minnesota financial advisor Greg Foster (CRD# 1532735) recently received an investor complaint alleging his conduct resulted in six-figure losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with UBS Financial Services.
Greg Sain: Stifel Nicolaus Denies Suitability Complaint
Recent, denied investor complaints against Beverly Hills financial advisor Greg Sain (CRD# 1629842) alleged that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Morgan Stanley, having previously been registered with Stifel Nicolaus & Company.
Jim Margraf: $100K Complaint Against Center Street Advisor
Springfield, Missouri financial advisor Jim Margraf (CRD# 6517554) recently received an investor complaint alleging his advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is currently a broker with Center Street Securities and an investment advisor with LaTour Asset Management.
Tim Sherer: Complaint Against Sherer Group Advisor Seeks $448K
Los Gatos financial Tim Sherer (CRD# 833618) recently received an investor complaint alleging elder abuse and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is registered as a broker and an investment advisor with Emerson Equity, doing business as The Sherer Group.
Andrew Goldwater: Stifel Denies $178K Concentration Complaint
A recent, denied investor complaint against Conshohocken financial advisor Andrew Goldwater (CRD# 866798) alleged that he unsuitably recommended speculative investments. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor registered with Stifel Nicolaus & Company.
Artie Grossman: $101K Complaint Against Ameriprise Advisor
Jupiter, Florida financial advisor Artie Grossman (CRD# 1020971) has been involved in multiple investor complaints alleging his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Royal Alliance Associates.
Dave Stamper: Suitability Complaint Against Stamper Wealth Advisor
Cary, North Carolina financial advisor Dave Stamper (CRD# 2301862) recently received an investor complaint alleging he recommended unsuitable products. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Cetera Advisor Networks, doing business as Stamper Wealth Management.
Steven Katzenstein: $75K Complaint Against HPG Wealthcare Advisor
Raleigh financial advisor Steven Katzenstein (CRD# 2380645) is involved in an investor complaint alleging he recommended an unsuitable investment to one of his customers. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Avantax Investment Services, as well as a representative of HPG Wealthcare… Read More »
