Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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Nathan Cedarleaf: $1 Million Complaint Against Ex-Fidelity Advisor
Troy, Ohio financial advisor Nathan Cedarleaf (CRD# 4341451) recently received an investor complaint alleging his advice resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Investment Services, having previously been registered with Fidelity Brokerage Services.
Ameriprise’s Rudy Molynar: FS Energy & Power Complaints
Treasure Island, Florida financial advisor Rudy Molynar (CRD# 3211892) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Ameriprise Financial Services.
Brian Linde: Structured Note Complaint Against Solstice Wealth Advisor
Sacramento financial advisor Brian Linde (CRD# 4376496) recently received an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with LPL Financial, doing business as Solstice Wealth Management.
Wayne Rentschler: New Albany Advisor Has GWG L Bond Complaint
A recent investor complaint against American Equity Investment Corporation financial advisor Wayne Rentschler (CRD# 4873172) alleges misconduct relating to an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is currently registered as a broker in New Albany, Indiana.
Northstar Financial Annuity Losses: Investors May Have Options
Multiple investors have filed complaints regarding investments in Northstar Financial Services, a Bermuda company that offered variable annuities before entering bankruptcy proceedings, and whose owner was recently charged with corruption and bribery by federal prosecutors and securities regulators. According to a 2021 report by the Royal Gazette, Northstar Financial filed for bankruptcy in 2020… Read More »
Highlands REIT: Did InvenTrust Mislead Investors?
When Inland American Real Estate Trust changed its name to InvenTrust Properties and spun off its non-core assets into subsidiary Highlands REIT in 2015, it suggested in public statements that Highlands would deliver investors a return by liquidating those assets and distributing net proceeds from the liquidation. Instead, according to a 2019 report by… Read More »
Mark Stevens: L Bond Complaint Against Ex-Accelerated Capital Advisor
M Stevens Securities advisor Mark Stevens (CRD# 2074085) allegedly sold an unsuitable GWG L bond investment, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that the Irvine, California representative is also registered with M Stevens Wealth Advisors and Kingswood Capital Partners. He was previously affiliated with Accelerated Capital… Read More »
Joel Johnson: Ex-Silver Oak Advisor Had $100K Investor Complaint
Recent investor complaints against Wethersfield, Connecticut financial advisor Joel Johnson (CRD# 1941908) allege that he recommended unsuitable alternative investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Silver Oak Securities broker is currently an investment advisor with Johnson Brunetti.
Karen Cunningham: $150K Complaint Against Kestra Advisor
Oklahoma City financial advisor Karen Cunningham (CRD# 1134960) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Kestra Investment Services and Kestra Advisory Services, respectively.
Burton Bartlett: Mequon Advisor Has GWG L Bond Complaint
A recent investor complaint against former Worden Capital Management advisor Burton Bartlett (CRD# 1038728) alleges that he unsuitably recommended GWG L bonds. Financial Industry Regulatory Authority records show that he is currently a broker with Landolt Securities in Mequon, Wisconsin.
