Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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Michael Ohlemacher: FINRA Suspends Ex-W&S Brokerage Services Advisor
The Financial Industry Regulatory Authority suspended Maumee, Ohio financial advisor Michael Ohlemacher (CRD# 5759091) in connection to findings of misconduct. FINRA and Securities and Exchange Commission records show that he was most recently registered as a broker with W&S Brokerage Services and as an investment advisor with Sequent Planning.
Ryan Fleming: REIT Complaint Against Pacific Capital Advisor
Bellevue financial advisor Ryan Fleming (CRD# 4378425) has received investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Pacific Capital Resource Group, offering securities and advisory services through Royal Alliance Associates.
Shomir Mukherjee: $100K Complaint Against Westlake Village Advisor
An investor complaint against Western International Securities financial advisor Shomir Mukherjee (CRD# 4121898) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Westlake Village, California.
Zvi Feldman: $800K Complaint Against Former Leumi Advisor
Aventura, Florida financial advisor Zvi Feldman (CRD# 5316260) has received an investor complaint alleging his investment recommendations resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with 1818 Private Client Services and was formerly a broker with Leumi Investment Services, though he… Read More »
Jonathan Ebel: $100K Complaint Against Network 1 Advisor
Hauppage, New York financial advisor Jonathan Ebel (CRD# 5902719) has received multiple investor complaints alleging his investment advice resulted in five- or six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Network 1 Financial Securities.
Jon Lee: Investor Files Complaint About Eagle Advisor
Sarasota financial advisor Jon Lee (CRD# 2354294) has received an investor complaint alleging his investment advice resulted in damages of more than half a million dollars. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with AAG Capital, Accurate Wealth Management, and Eagle Wealth Advisors.
Gary DiDonna: Premier Retirement Advisor Has GWG L-Bond Complaint
Investor complaints against Osprey, Florida financial advisor Gary DiDonna (CRD# 1651306) allege that he made unsuitable investment recommendations that resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Spire Securities, doing business as Premier Retirement Asset Management.
Investor Complaint Against Spartan Capital’s Sean Barakat
New York City financial advisor Sean Barakat (CRD# 5031281), also known as Shadi Barakat, recently received an investor complaint alleging he breached his fiduciary duty to the investor. Financial Industry Regulatory Authority records show he is a broker with Spartan Capital Securities.
Josh Westerman: Investor Complaint Against Morgan Stanley Advisor
Fort Lauderdale financial advisor Josh Westerman (CRD# 6838471) has received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Morgan Stanley.
GWG L-Bond Complaint Against Intervest’s Jonathan Ellefson
Harker Heights, Texas financial advisor Jon Ellefson (CRD# 1625977) has received investor complaints alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Intervest International Equities Corporation, doing business as Ellefson & Associates.
