Former Glastonbury, Connecticut financial advisor Jayme Lemaire (CRD# 4336052) was recently sanctioned and barred in connection with alleged rule violations....
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Bill Westcott: LPL Advisor Landed $190K ETF Complaint
A recent investor complaint against Tucson, Arizona financial advisor Bill Westcott (CRD# 1007101) alleged unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Bill Westcott Inc.
Michael Kelley: $2mm Complaint Against LPL/Charter Advisor
Indianapolis financial advisor Michael Kelley (CRD# 1021878) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Charter Advisory Corporation.
Will Brown & Stefan Gertsch: UBS Fires Advisors
Memphis, Tennessee financial advisors Will Brown (CRD# 6522004) and Stefan Gertsch (CRD# 5284354) were recently terminated by UBS Financial Advisors in connection with alleged rule violations. Financial Industry Regulatory Authority records show that each is registered as a broker with Kestra Investment Services and Kestra Private Wealth Services.
Opher Shallom: Wells Fargo Advisor Faced Options Complaint
A recent investor complaint against Wayzata, Minnesota financial advisor Opher Shallom (CRD# 4060644) alleges that he recommended an inappropriate strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors Financial Network.
Russ Cesari: Why Did Northwest Financial Fire LPL Advisor?
Herndon, Virginia financial advisor Russ Cesari (CRD# 2927448) was recently terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial, having previously been registered with Northwest Financial Advisors.
Mark Willets: Options Complaint Against Merrill Advisor
Scottsdale, Arizona financial advisor Mark Willets (CRD# 2151477) allegedly made unauthorized 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 Merrill Lynch.
Karen Yasukawa: Kikawa Group Advisor Lands $196K Complaint
A recent, denied investor complaint against Honolulu, Hawaii financial advisor Karen Yasukawa (CRD# 1540654) alleges that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James & Associates.
Dan Strain: $500K REIT Complaint Against Cape Securities Advisor
Columbus, Georgia financial advisor Dan Strain (CRD# 437903) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cape Securities and an investment advisor with Cape Investment Advisory.
Alex Barron: FINRA Suspends Former IRC Securities Advisor
Former New York City-based financial advisor Alex Barron (CRD# 4394048) was recently sanctioned, suspended, and fined in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with IRC Securities, and he is not currently registered as a broker.
Carlson Law Is Representing Howard Kavinsky Victim
Carlson Law is representing a former client of Howard Kavinsky and plans to file a legal claim regarding potential fraud and/or embezzlement. Howard Kavinsky is a former financial advisor that was most recently employed by Supreme Alliance (2024), B. Riley Wealth Management (2022-2024) and National Securities Corporation (2019-2022). He was permanently barred by the… Read More »
