A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Michael Rosenmayer: Oppenheimer Denies Complaint Against Advisor
Los Angeles financial advisor Michael Rosenmayer (CRD# 2352488) has been involved in numerous investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and as an investment advisor with Oppenheimer & Company.
Roderick Rodriguez: $50K Complaint Against Ex-Essex National Advisor
Bronx financial advisor Roderick Rodriguez (CRD# 2680445) allegedly over-concentrated assets in a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Infinex Investments, having formerly been registered with Essex National Securities.
Scott Trease: Sapere Wealth Advisor Settles SEC Fraud Charges
The Securities and Exchange Commission recently announced settled charges against Matthews, North Carolina financial advisor Scott Trease (CRD# 1298222) and his advisory firm Sapere Wealth Management. Records maintained by the Securities and Exchange Commission show that the charges stem from an investigation launched in April 2022.
Armin Hinkelman: Thrivent Advisor Resigns After Investigation
Watertown, South Dakota financial advisor Armin Hinkelman (CRD# 1583833) recently resigned from his position at Thrivent Investment Management in connection with alleged rule violations. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is currently registered as an investment advisor with Vantage Financial Partners.
Ex-SW Financial Advisor Donald Johns Faces $938K Complaint
A new investor complaint filed against Melville, New York financial advisor Donald Johns (CRD# 4566047) alleges unauthorized trading and other rule violations that resulted in damages exceeding $900,000. Financial Industry Regulatory Authority records show that he is a broker registered with SW Financial, having previously been registered with Arive Capital Markets.
C. Raymond Weldon: $500K Claim Against Weldon & Co. Advisor
Boca Raton financial advisor C. Raymond Weldon (CRD# 1030659) recently received an investor complaint alleging his advice resulted in damages of $500,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Independent Financial Group, doing business as Weldon & Company.
Carlson Law Files Claim Against Luong Pham & Cetera Advisors
Calrson Law has filed a FINRA arbitration claim on behalf of Springboro, Ohio financial advisor Luong Pham (CRD# 2830422). Records maintained by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Cetera Advisors broker is currently an investment advisor with Axim Planning & Wealth. The recently filed claim,… Read More »
Eric Baron: $156k Complaint Against Former SW Advisor
Hauppage, New York financial advisor Eric Baron (CRD# 2758724) recently received an investor complaint alleging he engaged in unauthorized trading and other forms of misconduct, leading to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker Network 1 Financial Securities, having previously been registered with Spartan Capital Securities and SW… Read More »
Mick Shonsey: Concentration Complaint Against Ex-Cetera Advisor
An investor complaint recently filed against Omaha financial advisor Mick Shonsey (CRD# 422524) alleges that he engaged in violations of securities industry rules and standards, resulting in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Brokers International Financial Services and as an investment advisor with Brokers… Read More »
Dave Smith: Intervest Advisor Faces $213K GWG Claim
Colorado Springs financial advisor Dave Smith (CRD# 850797) is involved in an investor complaint alleging he recommended unsuitable GWG L bonds and violated state and federal securities laws. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Intervest International Equities Corporation.
