First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Rafael Williamson, REIT Complaint Against UBS Advisor
A recent investor complaint against Boston, Massachusetts financial advisor Rafael Williamson (CRD# 2784795) alleges that he misrepresented investments in REITs and variable annuities. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Bill Morrison: $100K-$500K Complaint Against B. Riley Advisor
A recent investor complaint against Oakbrook Terrace, Illinois financial advisor Bill Morrison (CRD# 1556786) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management and an investment advisor with B. Riley Wealth Advisors.
Steven Tann: $1mm Complaint Against Wells Fargo Advisor
Los Angeles financial advisor Steven Tann (CRD# 1589757) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo, having previously been registered with JP Morgan Securities.
Michael Minter: Mintco Advisor Lands $300K Complaint
Tampa, Florida financial advisor Michael Minter (CRD# 2989575) 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 LifeMark Securities, doing business as Mintco Financial.
Stephen Parks: $1mm-$5mm Complaint Against Skystone Advisor
A recent investor complaint against Dallas, Texas financial advisor Stephen Parks (CRD# 5074732) alleges that he recommended unsuitable alternative investments, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Skystone Securities.
James Lang: FINRA Recommends Action Against Lang Wealth Advisor
Westlake Village, California financial advisor James Lang (CRD# 2959057) allegedly improperly used an investor’s funds, according to a regulatory investigation into his conduct. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Lang Wealth Management.
Justin Cappadona: Raymond James Denies $1mm Complaint Against Advisor
A recent, denied investor complaint against McAllen, Texas financial advisor Justin Cappadona (CRD# 2775857) alleged that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Sam Su: Ameriprise Advisor Faces $50 Million Complaint
San Francisco, California financial advisor Sam Su (CRD# 4232029) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Brian Court: FINRA Suspends Ex-Aegis Advisor
Former Melville, New York financial advisor Brian Court (CRD# 2591547) has been sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Aegis Capital and that he has received several investor complaints.
David Lerner Associates Sanctioned over Energy LPs
Representatives of broker-dealer firm David Lerner Associates (CRD# 5397) allegedly recommended unsuitable limited partnership investments to hundreds of customers, according to a recent sanction by the Financial Industry Regulatory Authority. The firm, headquartered in Syosset, New York, has been censured and suspended from engaging in the sale of proprietary, illiquid products.
