Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
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Hemant Kathuria: $100K-$200K Complaint Against AGP Advisor
Newport Beach, California financial advisor Hemant Kathuria (CRD# 5380092) recently received an investor complaint alleging that a GWG L-bond investment resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Alliance Global Partners, or AGP.
Marcial Vargas: Ameriprise Advisor Faces $600K Complaint
Redwood City, California financial advisor Marcial Vargas (CRD# 5953263) 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 Ameriprise Financial Services.
Barry Calabar: SEC Investigating PHX Financial Advisor
Fort Lauderdale, Florida advisor Barry Calabar (CRD# 4749342) is under investigation by the US Securities and Exchange Commission in connection with alleged securities law violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with PHX Financial, and that he has received several investor complaints.
Felipe Colón: $500K Complaint Against Belpointe, Ex-LPL Advisor
Sarasota, Florida financial advisor Felipe Colón (CRD# 5462167) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently an investment advisor with Belpointe Asset Management and a partner at Sanderling Partners.
Donald Peabody: Osaic Advisor Discloses $500K Complaint
A recent investor complaint against Coos Bay, Oregon financial advisor Donald Peabody (CRD# 2175218) alleges that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth.
Brian Nelson: $500K Complaint Against Emerson/Versity Advisor
Multiple investor complaints allege that Mission Viejo, California financial advisor Brian Nelson (CRD# 5065593) violated securities industry rules and regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, and that he is the president of Versity Investments, formerly known as NB Private Capital.
Scott Thole: Complaint Against Merrill Advisor Settles for $209K
Saint Paul, Minnesota financial advisor Scott Thole (CRD# 4516390) allegedly misrepresented an options investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Reed Smith: Did Merrill Lynch Advisor Misappropriate Funds?
A recent investor complaint against Houston, Texas financial advisor Reed Smith (CRD# 2708938) alleges that he misappropriated customer funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Aaron Graham: AG Financial Advisor Discloses $1.95mm Settlement
Salt Lake City financial advisor Aaron Graham (CRD# 3167246) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with United Planners’ Financial Services and an investment advisor with AG Financial.
Andrew LaForce: $138K Complaint Against Northwestern Advisor
Fort Myers, Florida financial advisor Andrew LaForce (CRD# 5785709) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.
