A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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GWG Investor Files Complaint Against Finance CAPE’s Travis Jennings
Former Dempsey Lord Smith representative Travis Jennings (CRD# 5753812) recently received an investor complaint alleging he engaged in misconduct relating to the sale of GWG L bonds. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Tampa-based broker is currently registered as an investment advisor with Encompass Financial Group,… Read More »
Jeff Paladini: $75K Complaint Against BD4RIA/Cerity Partners Advisor
Fort Worth financial advisor Jeff Paladini (CRD# 4341198) allegedly recommended unsuitable investments, according to complaints against him. Financial Industry Regulatory Authority records show that he is a broker with BD4RIA and an investment advisor with Cerity Partners. He was formerly registered with Triad Advisors.
Henrico Advisor Michael Thaler: BDC Complaint
A recent investor complaint against Cambridge Investment Research financial advisor Michael Thaler (CRD# 2557899) concerns investments in a business development corporation and an oil and gas product. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Henrico, Virginia.
Suitability Complaint Against Greenville Advisor Greg Gibson
Greg Gibson (CRD# 1694647), a financial advisor with Dempsey Lord Smith, recently received an investor complaint alleging his advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Greenville, South Carolina.
J. Benjamin Financial’s Robert Wilson: GWG Complaint
Former New Albany, Indiana broker Robert Wilson (CRD# 2364716) is the recipient of an investor complaint alleging he recommended an investment in GWG Holdings, which later filed for bankruptcy. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with J. Benjamin Financial in… Read More »
GWG Complaint Against Highland Financial’s Joseph Jackson
Fayetteville, North Carolina financial advisor Joseph Jackson (CRD# 2351290) recently received an investor complaint alleging six-figure damages stemming from an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Capital Investment Group, doing business as Highland Financial Management and Cape Fear Securities.
Cape Girardeau Advisor Rick Bandermann: New Investor Complaint
Merrill Lynch financial advisor Rick Bandermann (CRD# 1613847) allegedly provided misleading investment advice that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Cape Girardeau, Missouri.
LaraDorbecker Advisor Cindy Hanerhoff Receives Investor Complaint
Cindy Hanerhoff (CRD# 1084549), a financial advisor based in Houston, Texas, is involved in a customer dispute alleging unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is a broker with Sunbelt Securities, doing business as LaraDorbecker Securities Corporation.
Naples Advisor Stephen Spahr: Investor Files New Complaint
Janney Montgomery Scott financial advisor Stephen Spahr (CRD# 865189) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Naples, Florida.
Beaumont UBS Advisor Mike Persia: New Investor Complaint
UBS Financial Services advisor Mike Persia (CRD# 712234) is the recipient of an investor complaint alleging $900,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Beaumont, Texas.
