First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Retirement Income Strategies’ Kristian Finfrock: $100K Complaint
Kristian Finfrock (CRD# 5421676), a financial advisor based in Evansville, Wisconsin, recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Kalos Capita and an investment advisor with Retirement Income Strategies.
Scott Brannan: $100K REIT Complaint Against Berthel Fisher Advisor
Bismarck financial advisor Scott Brannan (CRD# 4553880) allegedly recommended unsuitable non-traded real estate investment trusts, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Berthel Fisher & Company Financial Services.
Spartan’s Nicholas Schiano Has 6-Figure Investor Complaints
New York City financial advisor Nicholas Schiano (CRD# 4429212) has received investor complaints alleging his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Spartan Capital Management, having previously been registered with Worden Capital Management.
Philip Gibson: $135K Complaint Against Fort Lauderdale Advisor
Newbridge Securities Corporation financial advisor Philip Gibson (CRD# 2905474) allegedly committed fraud, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker based in Fort Lauderdale, Florida, also operating as an insurance agent with Philip Gibson Insurance.
William Johnson: $209K REIT Complaint Against Ex-Voya Advisor
Cadaret Grant & Co. financial advisor William Johnson (CRD# 3174473) has received numerous investor complaints alleging he recommended unsuitable investments, resulting in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Greenville, South Carolina, where he was formerly registered with Voya Financial Advisors.
Darrin Cohen: $400K Investor Complaint Against Triad Advisor
Alpharetta, Georgia financial advisor Darrin Cohen (CRD# 2488435) has received an investor complaint alleging his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors and an investment advisor with Wealth Enhancement & Preservation.
GPB Capital Complaints Against Ex-Kalos Advisor David Lademan
Former Okemos, Michigan financial advisor David Lademan (CRD# 2479077) has received investor complaints concerning investments in GPB Capital. Financial Industry Regulatory Authority records show that Mr. Lademan is not presently registered as a broker or an investment adviser, having previously been registered with LPL Financial, doing business as Credent Wealth Management.
Joey Cason: 100K REIT Complaint Against Parable Financial Advisor
Joey Cason (CRD# 2455720), a financial advisor based in Brunswick, Georgia, has received investor complaints alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors, doing business as Parable Financial Network.
Michael Sloan: REIT Complaint Against St. Charles Advisor
Wintrust Investments broker and investment advisor Michael Sloan (CRD# 2178871) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is based in St. Charles and Elgin, Illinois.
Rick Shaw: $100K REIT Complaint Against Lincoln Financial Advisor
Rick Shaw (CRD# 1870018), a financial advisor in Scottsdale, Arizona, has received investor complaints alleging he sold unsuitable oil and gas investments. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Lincoln Financial Advisors.
