Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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FINRA Suspends Fairfield Advisor Denise Sobczak: Forgery Allegations
Kestra Investment Services financial advisor Denise Sobczak (CRD# 3078128) allegedly forged customer signatures, according to a recent Financial Industry Regulatory Authority sanction. FINRA records show that the Fairfield, New Jersey broker and investment advisor was issued a three-month suspension from associating with any FINRA member firm.
Brian Donnelly: Manhattan Ridge Advisor Suspended by FINRA
Former Iselin, New Jersey financial advisor Brian Donnelly (CRD# 4288121) allegedly participated in an undisclosed private securities transaction, according to a recent sanction suspending him from acting as a broker. Financial Industry Regulatory Authority records show that he was most recently a broker and investment advisor with First Allied Securities, doing business as Manhattan… Read More »
FINRA Bars Oshkosh Advisor Tony Liddle: GWG L Bond Allegations
The Financial Industry Regulatory Authority recently barred ex-Landolt Securities advisor Tony Liddle (CRD# 5478479). FINRA records show that the former Oshkosh, Wisconsin-based representative was barred in relation to allegations he improperly borrowed almost $2 million from his clients at two member firms.
G.A Repple Advisor Paul Witthauer: GWG L-Bond Complaints
A recent investor complaint disclosed on Jamestown, North Dakota financial advisor Paul Witthauer’s (CRD# 1672263) BrokerCheck report concerns allegations regarding GWG L-bonds. Financial Industry Regulatory Authority records show that Mr. Witthauer is a broker and investment advisor with G.A. Repple & Company.
RockPort Global’s Donald Gunn: $500K GPB Complaint
Investor complaints disclosed on Tampa broker Donald Gunn’s (CRD# 1442917) BrokerCheck report allege fraud and other forms of misconduct relating to investments in GPB Capital and other products. Financial Industry Regulatory Authority records show that he is a representative of International Assets Advisory, doing business as RockPort Global.
Thomas Schultz: GWG Complaint Against Lyfe Advisors Broker
Scottsdale financial advisor Thomas Schultz (CRD# 5614228) has received investor complaints alleging his investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Titan Securities, doing business as Lyfe Advisors.
Keystone Retirement’s Ron Paull: Archbald Advisor Has REIT Complaint
Archbald, Pennsylvania financial advisor Ron Paull (CRD# 2968273) has received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show he is a representative of Cambridge Investment Research, operating as Keystone Retirement Resources, and has previously been sanctioned by securities regulators.
Peter Rhee: $250K AGP Complaint Against Mosaic Private Wealth Advisor
Peter Rhee (CRD# 2326728), a financial advisor in Frankfort, Illinois, has received an investor complaint alleging his unsuitable investment recommendations caused six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with First Allied Securities and an investment advisor with Cetera Investment Advisers, doing business as Mosaic Private Wealth.
REIT Complaint Against Infinity Financial Advisor Dean Nowak
Winter Park, Florida financial advisor Dean Nowak (CRD# 1091819) allegedly recommended an unsuitable real estate investment trust, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation and president of Infinity Financial Network.
Anthony Gallea: Options Complaints Against Pelican Bay Group Advisor
Hendersonville, North Carolina financial advisor Anthony Gallea (CRD# 713980) has received investor complaints relating to an allegedly unsuitable options trading strategy. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Morgan Stanley, whose website shows that he is a member of Pelican Bay Group Wealth Management.
