A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Bay Creek Acquisitions: Seven Charged in Alleged Tax Shelter Scheme
The US Department of Justice recently indicted seven individuals on charges they conspired to commit fraud in connection with the promotion and appraisal of syndicated conservation easements, including Bay Creek Acquisitions. According to a press release published by the DOJ on March 1, 2022, the individuals indicted are Jack Fisher, James Sinnott, Kate Joy,… Read More »
Raymond James Fires Jean Coulanges, Boca Raton Advisor
Boca Raton financial advisor Jean Coulanges (CRD# 7410568) was recently fired by his 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 and investment advisor with Alliance Global Partners.
Cynthia Couyoumjian: $136K Complaint Against Cinergy Advisor
Tustin, California financial advisor Cynthia Couyoumjian (CRD# 1456630) is involved in multiple recent investor complaints alleging she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Independent Financial Group, doing business as Cinergy Financial.
Duane Pellman: Carlson Law Files Claim Against Excel Wealth Management
Carlson Law represents eleven investors who lost money investing with Duane Pellman and have filed an arbitration against Excel Wealth Management and others. This comes after the Surf City, North Carolina financial advisor resigned from Excel in connection with alleged rule violations.
Grove Point Advisor Louis Nemeth Faces $50K Penny Stock Complaint
Bethlehem, Pennsylvania financial advisor Louis Nemeth (CRD# 1465420) recently received an investor complaint alleging his investment advice resulted in damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Grove Point Investments.
Matthew Childs: Portsmouth Advisor Faces GWG L Bond Complaint
San Francisco financial advisor Matthew Childs (CRD# 3110916) allegedly recommended an unsuitable GWG L bond investment, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Portsmouth Financial Services.
Delaina Kucish: FINRA Investigates Edward Jones Advisor
The Financial Industry Regulatory Authority recently conducted an investigation of Morgantown, West Virginia financial advisor Delaina Kucish (CRD# 4401092). FINRA records show that the agency made a determination to recommend action against the Edward Jones broker and an investment advisor, alleging that she provided false information to investigators, among other forms of misconduct.
Luis Mendoza: Did Truist Advisor Misrepresent Investment?
Potomac, Maryland financial advisor Luis Mendoza (CRD# 4373652) was recently involved in an investor complaint alleging his conduct resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Truist Investment Services.
Yong Chang: $150K Complaint Against U&T Financial Advisor
Recent investor complaints against Seattle financial advisor Yong Chang (CRD# 4440739) allege that he recommended unsuitable REIT investments. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Independent Financial Group, doing business as U&T Financial.
Larry Letterio: Regulators Probe Ex-Altair Advisor’s ETF Sales
Berwyn, Pennsylvania financial advisor Larry Letterio (CRD# 1738325) is under investigation by state regulators in connection with alleged sales of inverse exchange-traded funds. Records provided by the Securities and Exchange Commission show that he is currently an investment advisor with Kistler-Tiffany Advisors.
