A recent investor complaint against El Segundo, California financial advisor Victor Rodriguez (CRD# 2900010) alleged that his investment advice resulted...
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Carson Wegman: LLM Advisor Faces $1mm Suitability Complaint
Boulder, Colorado financial advisor Carson Wegman (CRD# 226941) recently received an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LLM Financial Services, doing business as C. Wegman Advisory.
Greenbacker Renewable Energy: Investors May Have Recovery Options
Investors who suffered losses on investments in Greenbacker Renewable Energy Company may have recovery options. The product, a non-traded renewable energy investment, may have been unsuitable for certain retail customers. If you believe that your financial advisor misrepresented investments in Greenbacker Renewable Energy or recommended them without properly considering your risk tolerance or liquidity… Read More »
Steven Mitchell: ELE Advisory Services Advisor Lands $500K Complaint
Phoenix, Arizona financial advisor Steven Mitchell (CRD# 4667673) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with ELE Wealth Solutions and an investment advisor with ELE Advisory Services.
Nathan Downs: Cambridge Advisor Faced $50K Complaint
A recent, denied investor complaint against Boise, Idaho financial advisor Nathan Downs (CRD# 5833891) alleged that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research. He is also registered as an investment advisor with Duncan Financial… Read More »
Dave Bulger: Realta Equities Advisor Lands 500K-$1mm Complaint
A recent investor complaint against Wilmington, Delaware financial advisor Dave Bulger (CRD# 3180806) alleges that his conduct resulted in six- or seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, doing business as Perch Wealth.
Michael MacDonald: PFS Advisor Receives $300K Complaint
Albany, New York financial advisor Michael MacDonald (CRD# 2329652) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with PFS Investments and Primerica Advisors, respectively.
Dillon Hall: Realta Equities Advisor Faces $500K-$1mm Complaint
A recent investor complaint against Chandler, Arizona financial advisor Dillon Hall (CRD# 6463342) alleges that his conduct resulted in damages of at least $500,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Realta Equities, doing business as Perch Wealth.
Rhett Grimes: Emerson Equity Advisor Faces $524K Complaint
San Mateo, California financial advisor Rhett Grimes (CRD# 6283241) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity.
Donald Kiley: Ausdal Advisor Lands $100K Complaint
A recent investor complaint against De Pere, Wisconsin financial advisor Donald Kiley (CRD# 2630201) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Ausdal Financial Partners.
Nick Yiantselis: PHX Financial Advisor Faces Suitability Complaint
A recent investor complaint against New York, New York financial advisor Nick Yiantselis (CRD# 6953295) alleges that he made unsuitable investment recommendations, resulting in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Phoenix Financial.
