A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Kevin Birkner: $1.4mm Complaint Against Morgan Stanley Advisor
A recent investor complaint against Shrewsbury, New Jersey financial advisor Kevin Birkner (CRD# 5831301) alleges that his advice resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Robert Baker: $300K Complaint Against Ex-Stirlingshire Advisor
Mission Viejo, California financial advisor Robert Baker (CRD# 2878972) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Colorado Financial Service Corporation, doing business as Matrix Equity Capital.
Paul Baldino: Lake Financial Advisor Lands Excessive Trading Complaint
Port Washington, Wisconsin financial advisor Paul Baldino (CRD# 2024264) allegedly made excessive trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Lake Financial Group.
Paolo Bicego: Suitability Complaint Against Wells Fargo Advisor
Beverly Hills, California financial advisor Paolo Bicego (CRD# 5211610) recently received an investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Stephen Meskan: $250K Complaint Against Cabot Lodge Advisor
Chicago, Illinois financial advisor Stephen Meskan (CRD# 2566829) allegedly misrepresented 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 Cabot Lodge.
Mike Kolacz: GWG L-Bond Complaint Against Epstein & Kolacz Advisor
Rockwall, Texas financial advisor Mike Kolacz (CRD# 2566829) allegedly recommended an unsuitable investment in GWG Holdings, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Epstein & Kolacz Wealth Management.
Shay Scruggs: $1mm Complaint Against Rockefeller Advisor
Houston, Texas financial advisor Shay Scruggs (CRD# 4173046) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management.
Gary Liska: $500K Complaint Against Signature Advisor
A recent investor complaint against Los Angeles, California financial advisor Gary Liska (CRD# 2512188) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate Investment Advisors (SEIA).
Danny Sookram: Why Did Equitable Fire Aegis Advisor?
Melville, New York financial advisor Danny Sookram (CRD# 6113338) was recently terminated by his broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he the former Equitable Advisors broker is currently registered as an investment advisor with Aegis Capital.
Joel Benanti: FINRA Lodges Complaint Against Ex-Network 1 Advisor
Former Hauppage, New York financial advisor Joel Benanti (CRD# 4210681) was under investigation for undisclosed outside business activities and private securities transactions, according to a recent regulatory complaint against him. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Network 1 Financial Securities.
