While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty,...
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Eric Stiba: Lion Street Advisor Under SEC Investigation
Waco, Texas financial advisor Eric Stiba (CRD# 5635690) is under investigation by the Securities and Exchange Commission in connection with the sales of an alternative investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Lion Street Financial and Lion Street Advisors, respectively. He is… Read More »
Michael Grady: Sequence Financial Advisor Receives Easement Complaint
Florence, South Carolina financial advisor Michael Grady (CRD# 4585561) recently received an investor complaint relating to conservation easements. Financial Industry Regulatory Authority records show that he is a broker registered with Sequence Financial Specialists.
James Landeros: Merrill Lynch Advisor Faces Options Complaint
A recent investor complaint against Santa Barbara, California financial advisor James Landeros (CRD# 6447130) alleges that he misrepresented options investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with UnionBanc Investment Services.
Craig Thistlewaite: FINRA Suspends Ex-Morgan Stanley Advisor
Maumee, Ohio financial advisor Craig Thistlewaite (CRD# 2507050) was recently suspended and fined in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is registered as an investment advisor with CT Financial Partners. A Letter of Acceptance, Waiver, and Consent (No…. Read More »
Scott Taubman: Ex-Ameriprise Advisor Suspended over Loans
Former Peoria, Arizona financial advisor Scott Taubman (CRD# 4809824) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services has also received a pending investor complaint and is not currently registered with any broker-dealer firm.
Tracy Longstreet: $1mm-$5mm Complaint Against Ex-UBS Advisor
Former Houston, Texas financial advisor Tracy Longstreet (CRD# 1768525) recently received an investor complaint alleging that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that the former UBS Financial Services representative is not presently registered as a broker or an investment advisor.
Mark Kuttler: Financial Alternatives Advisor Faces REIT Complaint
East Meadow, New York financial advisor Mark Kuttler (CRD# 1425746) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with RNR Securities, doing business as Financial Alternatives.
Hugo Hernandez: MassMutual Advisor Faces Misappropriation Complaint
El Paso, Texas financial advisor Hugo Hernandez (CRD# 6446187) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, having previously been registered with NYLife Securities.
Robert De Vita: Ausdal Advisor Lands GWG L-Bond Complaint
Downers Grove, Illinois financial advisor Robert De Vita (CRD# 1865964) recently received an investor complaint alleging that he violated securities laws and industry rules in connection with the sale of GWG L-bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ausdal Financial Partners.
Joseph Storzinger: $400K Complaint Against IBN Advisor
Liverpool, New York financial advisor Joseph Storzinger (CRD# 2554671) recently received an investor complaint alleging that his conduct resulted in $400,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with IBN Financial Services and an investment advisor with IBN Advisory Services.
