Paramus, New Jersey financial advisors Shalom Azar (CRD# 7125424) and Sandy Fischman (CRD# 5902109) recently received an investor complaint alleging...
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iCap Equity Files for Bankruptcy
The Chief Executive Officer of iCap Equity, a Bellevue-based equity fund, announced his departure from the company in a letter sent to investors last month. This marks the latest in a series of challenges for the alternative investment firm, whose offerings include the iCap Vault I LLC, the iCap Pacific Income V LLC, and… Read More »
Talin Kalaydjian: $50K-$100K Complaint Against Western Advisor
Westlake Village, California financial advisor Talin Kalaydjian (CRD# 6674529) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Western International Securities.
John Franzino: Forgery Complaint Against J&M Financial Advisor
An investor complaint against Massapequa, New York financial advisor John Franzino (CRD# 4734949) alleges misconduct in connection with insurance sales. Financial Industry Regulatory Authority records show that he is a broker with Ameritas Investment Company and the owner of J&M Financial Services, having previously been registered with NYLife Securities.
Tim Campbell: Fired MML Advisor Faces Complaint
Boca Raton financial advisor Tim Campbell (CRD# 3046265) recently received an investor complaint alleging discrepancies in account forms. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation, having previously been registered with MML Investors Services.
Andrew Pesner: 6-Figure Complaint Against VCS Advisor
A recent investor complaint against Hauppage, New York financial advisor Andrew Pesner (CRD# 1971579) alleges that his advice resulted in damages of more than $250,000. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Services, having previously been registered with Joseph Stone Capital.
Richard Rogers: Ex-Belpointe Advisor Resigned over Allegations
Phoenix, Arizona financial advisor Richard Rogers (CRD# 1847671) recently resigned from a former member firm in connection with allegations of misconduct. Financial Industry Regulatory Authority records show that the former Belpointe Asset Management advisor is currently registered with Brookwood Investment Group.
Randall McGill: $75K GWG L Bond Complaint Against Ausdal Advisor
A recent investor complaint against Homer Glen, Illinois financial advisor Randall McGill (CRD# 1309727) alleges misconduct relating to an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and former investment advisor with Ausdal Financial Partners.
George Eggers: Heights Financial Advisor Lands $100K Complaint
Haddon Heights, New Jersey financial advisor George Eggers (CRD# 1228371) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker Cetera Advisor Networks and an investment advisor with with Cetera Investment Advisers, doing business as Heights Financial Group.
Devin Patel: Ex-Financial Gravity Advisor Receives $1.5mm Complaint
A recent investor complaint against Tampa financial advisor Devin Patel (CRD# 6632487) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Sanford C. Bernstein & Company and an investment advisor with AllianceBernstein, having previously been registered with Financial Gravity Asset Management.
Mike Hamilton: SEC Brings Charges Against Hamilton Wealth Advisor
Fort Myers financial advisor Mike Hamilton (CRD# 2038138) allegedly may have violated the Securities Exchange Act of 1934, according to a pending enforcement action recently filed by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Hamilton… Read More »
