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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Red Bank Advisor Mickey Schreiber: New Investor Complaint
Aegis Capital financial advisor Mickey Schreiber (CRD# 1032600) has received multiple investor complaints alleging he engaged in misconduct, including unauthorized and excessive trading. Financial Industry Regulatory Authority records show that he is a broker based in Red Bank, New Jersey.
Tom Holly: $100K GWG Complaint Against Boca Raton Advisor
B. Riley Wealth Management financial advisor Tom Holly (CRD# 1713313) recently received an investor complaint alleging he unsuitably recommended a GWG L bond. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boca Raton, Florida.
Travis Wolfe: $300K GWG Complaint Against Chicago Ausdal Advisor
Downers Grove, Illinois financial advisor Travis Wolfe (CRD# 5851265) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ausdal Financial Partners. He is also registered with the firm’s offices in Chicago, Illinois.
Former SunTrust Advisor Manny Fernandez: Northstar Complaint
Truist Investment Services advisor Manny Fernandez (CRD# 3079976) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Coral Gables, Florida.
The Other Side of Medicine’s Azmi Sharif: Complaint Settles for $500K
An investor complaint against Elhurst, Illinois financial advisor Azmi Sharif (CRD# 2343413) recently settled for $500,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as The Other Side of Medicine.
GPB Capital: What To Do If You Lost Money in “Ponzi-Like” Scheme
The Securities and Exchange Commission as well as numerous state securities regulators have accused GPB Capital, an asset manager and investment adviser, of running a “Ponzi-like scheme” that defrauded its investors. A civil action initiated by the SEC in 2021 specifically charges GPB Capital, its owner David Gentile, and other people and entities associated… Read More »
Kenneth Blumberg: $100K Fraud Complaint Against Hunt Valley Advisor
Stifel Nicolaus & Company financial advisors Kenneth Blumberg (CRD# 1585520) recently received an investor complaint alleging his advice resulted in damages of up to half a million dollars. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Hunt Valley, Maryland.
FS KKR Capital: Was BDC Investment Too Risky For Some Investors?
FS KKR Capital Corp. (NYSE: FSK) may be the second largest business development company, but that doesn’t necessarily make it a safe proposition for everyday investors—especially given the risks investors already face when they invest in BDCs generally. In fact, FS KKR has suffered hundreds of millions of dollars in losses since it was… Read More »
Tarrytown Advisor Brian Jackson: Complaint Alleged Risky Investments
Wells Fargo Clearing Services financial advisor Brian Jackson (CRD# 4733834) recently received an investor complaint alleging he recommended unsuitably risky investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Tarrytown, New York.
Mary Wilcox: Oil & Gas Complaint Against Phoenix JW Cole Advisor
An investor complaint against JW Cole Financial advisor Mary Wilcox (CRD# 2589120) details allegations concerning an oil and gas investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Phoenix, Arizona.
