Eagle, Idaho financial advisor Robert Wilson (CRD# 6394736) was recently fired by his prior member firm in connection with alleged...
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Michael Grady: $1.4mm GWG Complaint Against American Trust Advisor
Lisle, Illinois financial advisor Michael Grady (CRD# 1392784) 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 American Trust Investment Services and an advisor with Asset Strategies, American Trust Investment Services Advisory, and Chicago Capital Management… Read More »
Tracey Smith: Ameriprise Advisor Faces RiverSource Annuity Complaint
Mt. Lebanon, Pennsylvania financial advisor Tracey Smith (CRD# 2668443) allegedly misrepresented a variable annuity investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.
Mark Grueninger: $1.8mm Complaint Against UBS Advisor
A recent investor complaint against Beverly Hills financial advisor Mark Grueninger (CRD# 3031348) alleges that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Anthony Martinelli & Joe Hirthler: LPL Advisors Face $3mm Complaint
Pennsylvania financial advisors Anthony Martinelli (CRD# 2590758) and Joe Hirthler (CRD# 1370229) recently received an investor complaint alleging that their conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that each is registered as a broker with LPL Financial and an investment advisor with Jacobi Capital Management.
Bryce Hamilton: LPL Advisor Discloses $300K Complaint
San Diego, California financial advisor Bryce Hamilton (CRD# 4296113) 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 LPL Financial, doing business as Highly Appreciated Capital.
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.
