First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Jason Vanclef: $100K-$500K Complaint Against Los Angeles Advisor
Vanclef Financial Group’s Jason Vanclef (CRD# 5096529) allegedly made investment recommendations that led to six-figure losses, according to a pending investor complaint. Financial Industry Regulatory Authority records show that the Los Angeles-based representative offers securities through American Trust Investment Services and has been the subject of a FINRA investigation.
Darcy Wolfe: New Investor Complaint Against Edward Jones Advisor
A pending investor complaint against Carlsbad, California stockbroker Darcy Wolfe (CRD# 6285149) alleges that her recommendations resulted in losses. Financial Industry Regulatory Authority records show that Ms. Wolfe, also known as Darcy Irwin, is a representative of Edward Jones.
Carlson Law Wins Punitive Damages Against Joseph Gunnar & Co.
Last week, a FINRA arbitration Panel in New York awarded a Carlson Law client compensatory damages and more than $100,000 in punitive damages against Joseph Gunnar & Co., a FINRA-registered broker-dealer. The client’s former financial advisor was Anthony Sica, who is based in New York City. The Claimant, a woman in her 60s, alleged… Read More »
Edward Yoon: 6-Figure Complaints Against Pasadena Advisor
First Allied Securities representative Edward Yoon (CRD# 2408137) allegedly recommended unsuitable investments that led to losses, according to pending investor complaints. Financial Industry Regulatory Authority records show that he is affiliated with the firm’s offices in Pasadena, Rancho Cucamonga, and Torrance, California.
Investors Allege Misconduct by Los Angeles Broker Tony Barouti
Investor complaints against Los Angeles broker Tony Barouti (CRD# 3031995) allege more than $1.5 million in damages. Financial Industry Regulatory Authority records show that he is a representative of Barouti Financial, offering securities through Emerson Equity.
Pleasanton Advisor Anthony Giuliano Has REIT Complaint
Securities America representative Anthony Giuliano allegedly breached his fiduciary duty, according to an investor complaint against him. Financial Industry Regulatory Authority records show that he is affiliated with the firm’s office in Pleasanton, California as both a broker and an investment adviser.
Ed Maklouf: 6-Figure Investor Complaints Against NYC Advisor
A pending investor complaint against Spartan Capital Securities representative Ed Maklouf (CRD# 6092943) alleges he engaged in unauthorized trading. Financial Industry Regulatory Authority records show that the New York City-based broker has received an earlier complaint alleging six-figure damages, as well as several complaints that reached settlements.
Churning Allegations Against NYC Spartan Advisor Joe Kelly
New York City broker Joe Kelly (CRD# 4560737) allegedly engaged in unauthorized trading and churning, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that the Spartan Capital Securities representative has also received complaints that reached settlements.
Denied REIT Complaint Against Voya Advisor Michael Zahm
Voya Financial Advisors advisor Michael Zahm (CRD# 6381591) allegedly misrepresented an investment, according to an investor complaint that was denied by his member firm. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor in Fishers, Indiana.
Dana Vietor: $2.6 Million Complaint Against Ex-Dallas Advisor
Former CFD Investments representative Dana Vietor (CRD# 873129) has received numerous pending investor complaints alleging millions in damages. Financial Industry Regulatory Authority records show that the former Dallas-based broker has been barred from associating with any broker-dealer firm.
