Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Adam Kotz: $4 Million Complaint Against Mariner Wealth Advisor
New York City financial advisor Adam Kotz (CRD# 6286443) allegedly recommended unsuitable investments, according to a recent investor complaint. Records provided by the Securities and Exchange Commission indicate that he is currently registered as an investment adviser with Mariner Wealth Advisors.
Kiran Devarapalli: Leaders Group Advisor Fired by LPL
Littleton, Colorado financial advisor Kiran Devarapalli (CRD# 6416586) was recently fired by LPL Financial in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with The Leaders Group and an investment advisor with Ciro Capital.
Max & Randy Birkinbine: Ausdal Advisors Face GWG Complaint
North Oaks, Minnesota financial advisors Max Birkinbine (CRD# 6836583) and Randy Birkinbine (CRD# 2008599) have received an investor complaint alleging that they recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that both are registered as a broker and an investment advisor with Ausdal Financial Partners.
Bruce Johnson: L Bond Complaint Against Portsmouth Financial Advisor
San Francisco financial advisor Bruce Johnson (CRD# 1126862) allegedly misrepresented investments in GWG L bonds, according to an investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Portsmouth Financial Services.
Cataldo Panici: $355K REIT Complaint Against Wintrust advisor
Frankfort, Illinois financial advisor Cataldo Panici (CRD# 2112617) recently received an investor complaint alleging damages of more than $300,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wintrust Investments.
Pamela Calhoun: Ex-Cetera Advisor Faces Structured Product Complaint
Fruitland Park, Florida financial advisor Pamela Calhoun (CRD# 4216320) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors.
Hector Villaescuela: $20 Million Complaint Against Bulltick Advisor
A recent investor complaint against Miami financial advisor Hector Villaescuela (CRD# 4185707) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Bulltick and an investment advisor with Bulltick Wealth Management.
Tom Cavaliere: $300K Complaint Against Tall Oaks Advisor
Overland Park, Kansas financial advisor Tom Cavaliere (CRD# 4435562) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with IHT Wealth Management, doing business as Tall Oaks Advisors.
Michael Frager: $125K Complaint Against FSA Integrated Advisor
Recent investor complaints against La Jolla, California financial advisor Michael Frager (CRD# 1230622) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Willow Cove Investment Group and an advisor with Balboa Wealth Partners, doing business as FSA Integrated.
John Pronovost: $100K-$500K Complaint Against Ex-Cambridge Advisor
Watertown, Connecticut financial advisor John Pronovost (CRD# 1990612) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Osaic Institutions, having previously been registered with Cambridge Investment Research.
