First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Dan Silverberg: UBS Advisor Faces Investor Complaint
A recent investor complaint against Philadelphia, Pennsylvania financial advisor Dan Silverberg (CRD# 1576956) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Shawn Patt: Complaint Against Ex-RBC Advisor Settles for $92K
Calabasas, California financial advisor Shawn Patt (CRD# 4484268) recently received an investor complaint that reached a settlement exceeding $90,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former RBC Capital Markets broker is currently registered as an investment advisor with Atala Financial.
Dan Ahlrichs: Why Did Upstream Advisor Resign from Northwestern?
Bellevue, Washington financial advisor Dan Ahlrichs (CRD# 5531884) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with LPL Financial, doing business as Upstream Investment Partners.
Trent White: Ex-Vanguard Advisor Received Bond Complaint
Scottsdale, Arizona financial advisor Trent White (CRD# 5592137) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Vanguard broker is currently registered as an investment advisor with Omnia Wealth Management.
Gali Horev: $394K Complaint Against Dempsey Lord Smith Advisor
A recent investor complaint against Irvine, California financial advisor Gali Horev (CRD# 5138931) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, as well as a representative of HN Financial Group.
Kelly Hejtmancik: MassMutual Advisor Lands $91K Complaint
Houston financial advisor Kelly Hejtmancik (CRD# 4535262) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Keyan Keys: Did Edward Jones Advisor Misappropriate Funds?
A recent investor complaint against Childress, Texas financial advisor Keyan Keyes (CRD# 6942965) alleges that he misappropriated client funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Paul Murans: $500K Complaint Against Thurston Springer Advisor
Indianapolis financial advisor Paul Murans (CRD# 3266607) recommended an unsuitable senior life settlement portfolio, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Thurston Springer, having previously been registered with UBS Financial Services.
Maria Valido: $100K-$500K Complaint Against Ex-Infinex Advisor
Former Miami, Florida financial advisor Maria Valido (CRD# 6324596) has received multiple investor complaints alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Infinex Investments.
Mark Bruscianelli: JBT Wealth Advisor Receives $260K Complaint
Chicago financial advisor Mark Bruscianelli (CRD# 4177839) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management, doing business as JBT Wealth Management.
