A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Matt Boehm: GWG L Bond Complaint Against Legacy Wealth Advisor
A pending investor complaint against East Peoria, Illinois financial advisor Matt Boehm (CRD# 4418029) concerns an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Woodbury Financial Services, doing business as Legacy Wealth Partners.
Archie Blood: FINRA Sanctions Fiduciary Financial Advisor
Grand Rapids, Michigan financial advisor Archie Blood (CRD# 1861277) allegedly participated in improper private securities transactions, according to a recent enforcement action. Financial Industry Regulatory Authority and Securities and Exchange Commission records indicate that the former Cambridge Investment Research broker is currently an investment advisor with Fiduciary Financial Advisors.
Andrew Wilson: $100K Complaint Against Wealth Enhancement Advisor
New Market, Maryland financial advisor Andrew Wilson (CRD# 1978779) allegedly provided investment advice that resulted in six-figure damages, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that he is an investment advisor with Wealth Enhancement Advisory Services.
Ray Lent: GWG Complaints Against Putney Financial Advisor
Multiple investor complaints against San Rafael financial advisor Ray Lent (CRD# 817645) concern investments in GWG L bonds. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Portsmouth Financial Services, doing business as The Putney Financial Group.
Michael Vassalotti: $974K Complaint Against UBS Advisor
West Palm Beach financial advisor Michael Vassalotti (CRD# 1461475) recently received an investor complaint alleging that his advice resulted in damages exceeding $900,000. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor at UBS Financial Services, whose website describes him as a member of the… Read More »
LPL Advisor Barry Buchholz Faces $131K Annuity Complaint
Cedar Rapids financial advisor Barry Buchholz (CRD# 1583582) is involved in an investor complaint alleging that a variable annuity investment recommendation led to six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with LPL Financial, doing business as Diamond Capital.
Scott Oliphant: $100K REIT Complaint Against Integrity Wealth Advisor
Columbus, Indiana financial advisor Scott Oliphant (CRD# 4551455) allegedly recommended an unsuitable real estate investment trust (REIT), according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that the Cetera Advisors representative is the owner and president of Integrity Wealth Management.
Capital Defender’s Elio Chiarelli Receives GWG Complaint
Gainesville financial advisor Elio Chiarelli (CRD# 5824081) is involved in an investor complaint relating to an investment in GWG L bonds. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with IFP Securities and an investment advisor with Bison Wealth, doing business as Capital Defender Advisors.
Ellen Zimmermann: MML Advisor Faces Annuity Complaint
Southfield, Michigan financial advisor Ellen Zimmermann (CRD# 2574244) allegedly engaged in misconduct relating to variable annuity products, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker with MML Investors Services.
Michael Raineri: $135K Complaint Against Raineri Financial Advisor
A recent investor complaint against Seattle financial advisor Michael Raineri (CRD# 4817558) alleges that his conduct resulted in damages of more than $100,000. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Securities America, doing business as Raineri Financial.
