Fort Lauderdale, Florida financial advisor Michael Taylor (CRD# 4900554) recently resigned from his former member firm in connection with alleged...
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Pacific Oak Strategic Opportunity REIT: Investors May Have Options
Investors who experienced losses on investments in the Pacific Oak Strategic Opportunity real estate investment trust may have recovery options. A recent article in AltsWire notes that the REIT, formerly known as KBS Strategic Opportunity REIT, “is moving toward liquidation following a period of significant financial distress and ongoing negotiations with Israeli bondholders.”
Mohammed Karim: FINRA Bars Former Truist Advisor
Former Lakeland, Florida financial advisor Mohammed Karim (CRD# 4419277) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Truist Investment Services.
Mike Gestone: $1mm Complaint Against Greenbird Capital Advisor
A recent investor complaint against Boca Raton, Florida financial advisor Mike Gestone (CRD# 5984302) alleges seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Greenbird Capital, having previously been registered with National Securities Corporation.
Steven Goethel: Misrepresentation Complaint Against Merrill Advisor
Jupiter, Florida financial advisor Steven Goethel (CRD# 5861475) allegedly made material misrepresentations about investments he recommended, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Mark Yadron: $200K Complaint Against Kestra Advisor
Prescott, Arizona financial advisor Mark Yadron (CRD# 1520648) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Kestra Investment Services, doing business as American Wealth Management.
Andy Martz: $50K Bond Complaint Against LPL Advisor
Southlake, Texas financial advisor Andy Martz (CRD# 5118326) allegedly recommended an investment that was not in his client’s best interest, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as WIS Advisors.
Craig Fernsler: McDermott Advisor Lands $300K DST Complaint
Naples, Florida financial advisor Craig Fernsler (CRD# 5558907) recently received an investor complaint alleging that a Delaware Statutory Trust investment resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
Andrew Spaventa: SEC Investigates TSG Advisor
Ronkonkoma, New York financial advisor Andrew Spaventa (CRD# 6175466) is under investigation by the Securities and Exchange Commission for alleged misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with TSG Capital Advisors and an investment advisor with TSG Alpha Partners.
Troy Thomas: $400K DST Complaint Against McDermott Advisor
A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
John Noonan: Merrill Advisor Receives Misappropriation Complaint
Virginia Beach, Virginia financial advisor John Noonan (CRD# 4425914) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
