First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
Read MoreRecent Blog Posts
Kalos Capital Advisor Eric Weschke: $535K Investment Complaint
Recent investor complaints disclosed on Kalos Capital financial advisor Eric Weschke’s (CRD# 2486324) BrokerCheck report allege hundreds of thousands of dollars in damages. Financial Industry Regulatory Authority records show that he is based in Setauket, New York and has been involved in 17 investor complaints that reached settlements.
Jason Slezak: GWG Complaint Against Antioch Advisor
Landolt Securities broker Jason Slezak (CRD# 2423323) has received an investor complaint concerning investments in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker registered in Antioch, Illinois, with 24 state licenses.
FINRA Investigating Garden City Advisor James Pecoraro
Spartan Capital Securities financial advisor James Pecoraro (CRD# 2440231) is under examination by the Financial Industry Regulatory Authority in relation to allegations of churning and excessive trading. FINRA records show that he is registered as a broker in Garden City, New York.
1st Financial Advisor Heath Goldstein Has GWG, REIT Complaints
Clark’s Summit, Pennsylvania financial advisor Heath Goldstein (CRD# 2147679) allegedly recommended unsuitable GWG L bonds, real estate investment trusts (REITs), oil and gas securities, and other investments, according to investor complaints. Financial Industry Regulatory Authority records show that he is a representative of Western International Securities, doing business as 1st Financial Investments.
Brian C. Kennedy: Oil & Gas Complaints Against KCA Wealth Advisor
Camp Hill, Pennsylvania financial advisor Brian Kennedy (CRD# 2321416) has received investor complaints concerning oil and gas investments. Financial Industry Regulatory Authority records show that he is a broker and investment adviser with Cambridge Investment Research, doing business as KCA Wealth Management.
White Plains Advisor Hugh Dunn: $325k Investor Complaint
White Plains financial advisor Hugh Dunn (CRD# 2219252) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Rockwell Financial Group, registered in both White Plains and Hicksville, New York.
Berthel Fisher’s Jeff Pridey Has $136K Investment Complaint
Twin Falls, Idaho financial advisor Jeff Pridey (CRD# 2136022) allegedly recommended unsuitable alternative investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Berthel Fisher & Company, doing business as Peak Financial Services.
Kurt Baldry: Suitability Complaints Against Ostego Financial Advisor
Ausdal Financial Partners financial advisor Kurt Baldry (CRD# 1568930) has received an investor complaint alleging damages of nearly $1 million. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Ostego, Minnesota.
Academy Financial’s Rob Eisenberg Has $225K Oil & Gas Complaint
Vienna, Virginia financial advisor Rob Eisenberg (CRD# 1539655) has received an investor complaint alleging his oil and gas investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is a representative of Academy Financial, which offers securities through Lincoln Financial Advisors.
Thomas Povinelli: $275K Complaint Against Royal Alliance Advisor
Thomas Povinelli (CRD# 1326492), a financial advisor based in Old Greenwich, Connecticut, has received investor complaints alleging he recommended unsuitable investments. According to Financial Industry Regulatory Authority records, he is a broker and investment advisor with Royal Alliance Associates.
