A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Philip van Staden: 700K Complaint Against Green Vista Advisor
Winter Park, Florida financial advisor Philip van Staden (CRD# 4489166) has received multiple investor complaints in recent years, including one that reached a six-figure settlement. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Green Vista Capital.
Allen Wilson: $545K Complaint Against Wells Fargo Advisor
Florham Park, New Jersey financial advisor Allen Wilson (CRD# 2420229) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Philip Watson: Ameriprise Advisor Has REIT Complaint
A recent investor complaint against Downers Grove, Illinois financial advisor Philip Watson (CRD# 2400788) alleged that he provided misleading advice regarding an REIT investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Robert D’Agosta: Suitability Allegations Against Center Valley Advisor
Liverpool, New York financial advisor Robert D’Agosta (CRD# 1903105) has received multiple investor complaints, including one that reached a settlement of $500,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with IBN Financial Services, where he is also registered with the firm’s office in Center Valley, Pennsylvania.
Steven Baumrucker: Complaints Against Adams Brown Advisor
Hays, Kansas financial advisor Hays Baumrucker (CRD# 4055316) allegedly recommended unsuitable investments, according to investor complaints against him. Financial Industry Regulatory Authority records show that he is a broker with Private Client Services in Hays and an investment advisor with Adams Brown Wealth Consultants in Great Bend, Kansas.
Rob Urban: Why Did Ex-Morgan Stanley Advisor Resign?
Westhampton Beach, New York financial advisor Rob Urban (CRD# 2561504) recently resigned from Ameriprise Financial Services following allegations of misconduct. Financial Industry Regulatory Authority records show that the Cetera Advisor Networks representative previously resigned from a former member firm over alleged misconduct as well.
Hilltop’s Brad Winges & Steve Coma: $13 Million Complaint
An investor complaint against Hilltop Securities advisors Brad Winges (CRD# 1929509) and Steve Coma (CRD# 1414147) alleges eight-figure damages. Financial Industry Regulatory Authority records show that Mr. Winges is a broker in Dallas, Texas, where he is also affiliated with Momentum Independent Network. Mr. Coma, meanwhile, is a broker registered in Charlotte, North Carolina.
Jon Murdock: Ex-Edward Jones Advisor Had Investor Complaint
Former Edward Jones broker Jon Murdock (CRD# 6435392) recently received an investor complaint alleging he provided misleading assurances. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently an investment advisor with Hohimer Wealth Management in Seattle, Washington.
Jennifer Marcontell: 188K Complaint Against Mont Belvieu Advisor
A recent investor complaint against Ameriprise Financial Services advisor Jennifer Marcontell (CRD# 4008873) alleges her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Mont Belvieu, Texas. She is also known as Jennifer White.
KBS Capital Markets: Non-Traded REITs Have Significant Risks
KBS Capital Markets Group is a Newport Beach, California-based real estate investment firm known, among other things, for offering three non-traded real estate investment trusts (REITs): KBS Growth & Income REIT, KBS REIT II, and KBS REIT III. Formed in 2006, KBS has more than $7 billion in assets under management as of June… Read More »
