Former Lenexa, Kansas broker and investment adviser Douglas Elstun (CRD# 2338588) has been named in a pending SEC enforcement action...
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Douglas Elstun: SEC Fraud Charges Against Kansas Advisor
Former Lenexa, Kansas broker and investment adviser Douglas Elstun (CRD# 2338588) has been named in a pending SEC enforcement action alleging he defrauded his customers. Financial Industry Regulatory Authority (FINRA) records show that Elstun is currently not registered as a broker or an investment adviser, though he was most recently registered with Sigma Financial… Read More »
Matt Babrick: $1.1M Complaint Against First Republic Rep
San Francisco broker and investment adviser Matt Babrick (CRD#: 4433983) has received several pending customer complaints alleging cumulative damages of $1.9 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Babrick is currently registered with First Republic Securities Company in San Francisco, California and Jackson, Wyoming, and with First Republic Investment… Read More »
Bob & Kristine Hartland: Energy Complaint Against Ameriprise Reps
A pending investor complaint against Ameriprise Financial Services brokers and investment advisers Bob Hartland (CRD# 2253564) and Kristine Hartland (CRD# 2101877) alleges losses of $950,000. According to Financial Industry Regulatory Authority (FINRA) records, Bob Hartland is currently registered with Ameriprise’s branch office in Sun City Center, Florida, while Kristine Hartland is registered with the… Read More »
Dustin Shafer: Ex-Money Concepts Rep Has Investor Complaints
Former Springfield, Illinois broker and investment adviser Dustin Shafer (CRD#: 4198962) has received several settled or pending customer complaints in the last several years, including several that settled for six-figure sums.. According to records provided by the Financial Industry Regulatory Authority (FINRA), Shafer was most recently registered with Newbridge Securities Corporation and Money Concepts… Read More »
Stephen Ferencik: Multiple Complaints Against Arkadios Broker
Atlanta broker and investment adviser Stephen Ferencik (CRD#: 3126037) recently received a pending customer complaint alleging his conduct resulted in six-figure losses. According to records maintained by the Financial Industry Regulatory Authority (FINRA), Ferencik is currently registered with Arkadios Capital and Arkadios Wealth Advisors. Stephen Ferencik’s BrokerCheck report currently lists four settled investor complaints… Read More »
Ameriprise’s Mark Barrand Has Northstar Complaints
According to records maintained by the Financial Industry Regulatory Authority (FINRA), Denver, Colorado and Pleasant Grove, Utah broker and investment adviser Mark Barrand (CRD# 4586528) has received multiple settled or pending investor complaints alleging his conduct resulted in losses. Barrand is currently registered with Ameriprise Financial Services. Mark Barrand’s BrokerCheck report lists four settled… Read More »
Damian Bell: Ex-WFG Rep Has 6-Figure Complaints
Daphne, Alabama broker and investment adviser Damian Bell (CRD# 2348521) has received resolved or pending investor complaints alleging his conduct led to losses, including two that resolved with $5 million awards to the customers. According to records provided by the Financial Industry Regulatory Authority (FINRA), Bell is currently registered with International Assets Advisory. Damian… Read More »
Ryan Wroblewski: Margin Complaint Against Morgan Stanley Broker
Ryan Wroblewski (CRD# 6158332), a broker and investment adviser in Garden City, New York, has received several pending investor complaints in recent years. According to records provided by the Financial Industry Regulatory Authority (FINRA), Wroblewski is currently registered with Morgan Stanley. Ryan Wroblewski’s BrokerCheck report lists a total of four pending investor complaints against… Read More »
Christopher Phillips: Oil Investment Complaints Against RBC Broker
Stamford, Connecticut-based broker and investment adviser Christopher Phillips (CRD# 4761544) has received a pending investor complaint alleging his actions resulted in losses. According to records provided by the Financial Industry Regulatory Authority (FINRA), Phillips is currently registered with RBC Capital Markets. Christopher Phillips’s FINRA-maintained BrokerCheck report lists a total of one denied investor complaint… Read More »
Michael Vetere: $1MM Complaint Against Ex-Bayside Rep
Former Aegis Capital Corp. broker and investment adviser Michael Vetere (CRD# 4275271) has received a pending customer complaint alleging his investment recommendations resulted in $1 million in losses. According to Financial Industry Regulatory Authority (FINRA) records, Vetere was most recently registered with the firm’s branch office in Bayside, New York. Michael Vetere’s FINRA-maintained BrokerCheck… Read More »
