First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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John Whalen: $1mm Complaint Against Wealth Strategies Group Advisor
Honolulu financial advisor John Whalen (CRD# 1900188) allegedly recommended unsuitable investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Commonwealth Financial Network, doing business as Wealth Strategies Group.
Mark Just: Investor Complaints Against Indianapolis Advisor
The Just Company financial advisor Mark Just (CRD# 1138738) allegedly recommended unsuitable alternative investments, according to investor complaints against him. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Indianapolis representative was formerly a broker with Triad Advisors and has been sanctioned by FINRA.
Carl Gill: $100K Investor Complaint Against Asset Preservation Advisor
Troy, Michigan financial advisor Carl Gill (CRD# 1076361) has received investor complaints alleging fraud, negligence, and other forms of misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with Asset Preservation Capital and was formerly a broker with United Planners’ Financial Services of America.
Colin Kelty: $1.4 Million Complaint Against Oakbrook Cetera Advisor
Colin Kelty (CRD# 5859007), a financial advisor in Oakbrook, Illinois, has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Cetera Investment Services.
Joseph Todaro: Churning Complaints Against Ex-Worden Advisor
Investor complaints against Hauppage, New York financial advisor Joseph Todaro (CRD# 5708585) allege he engaged in unauthorized trading and churning, among other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with Network 1 Financial Securities, having previously been registered with SW Financial and Worden Capital Management.
Dana Timchenko: $500K Options Complaint Against Cornelius Advisor
Morgan Stanley broker and investment advisor Dana Timchenko has received an investor complaint alleging half a million dollars in damages. Financial Industry Regulatory Authority records show that she is a representative based in Cornelius, North Carolina, having previously been registered with UBS Financial Services.
Michael Restagno: 150K REIT Complaint Against Aegis Advisor
Aegis Capital broker Michael Restagno (CRD# 5532695) has received pending investor complaints alleging his investment recommendations resulted in damages. Financial Industry Regulatory Authority records show that he is based in Garden City, New York and was formerly registered with National Securities Corporation in Mineola, New York.
Nanticoke Advisor Brent Makarczyk: Watermark Lodging REIT Complaint
Ameriprise Financial Services broker and investment advisor Brent Makarczyk (CRD# 4278893) has received investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is based in Nanticoke, Pennsylvania.
$2.3 Complaint Against Merrill Lynch Advisor Cass Jenkins
Fort Worth broker and investment advisor Cass Jenkins (CRD# 4304584) has received an investor complaint alleging more than $2 million in damages. Financial Industry Regulatory Authority records show that he is a representative of Merrill Lynch.
Nigel James: FINRA Investigated Former Joseph Stone Advisor
Mineola, New York broker Nigel James (CRD# 4490687) has received a pending investor complaint alleging unauthorized conduct. Financial Industry Regulatory Authority records show that the VCS Venture Securities representative has been investigated by FINRA, which recommended disciplinary action against him.
