A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Greg Suzio: Merrill Lynch Advisor Faces 6-Figure Complaint
Auburn Hills, Michigan financial advisor Greg Suzio (CRD# 5309403) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of McGill Suzio Group, a… Read More »
Todd Rustman: $830K Complaint Against Clarity Capital Advisor
Newport Beach, California financial advisor Todd Rustman (CRD# 2453708) recently received an investor complaint alleging that his conduct resulted in damages exceeding $800,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services and an investment advisor with Clarity Capital Partners.
Kelley Slaught: California Wealth Advisor Lands $100K Bond Complaint
A recent investor complaint against Santa Barbara, California financial advisor Kelley Slaught (CRD# 1126586) alleges that she made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Centaurus Financial, doing business as California Wealth Advisors.
John Lord: $140K Complaint Against Dempsey Lord Smith Advisor
Calhoun, Georgia financial advisor John Lord (CRD# 1352023) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Dempsey Lord Smith.
Charles Wareheim: Vaylark Advisor Receives REIT Complaint
Hartford, Connecticut financial advisor Charles Wareheim (CRD# 2193537) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Independent Financial Group, doing business as Vaylark Financial Services.
Brian Dreier: $268K REIT Complaint Against Heartland Financial Advisor
Quincy, Illinois financial advisor Brian Dreier (CRD# 2462344) recently received an investor complaint alleging that he provided misleading advice regarding REIT investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as Heartland Financial Advisors.
Logan Cox: $205K Complaint Against Arno Wealth Advisor
Chicago financial advisor Logan Cox (CRD# 6927720) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Arete Wealth and a representative of Arno Wealth.
Martin Walcoe: David Lerner Advisor Faces Energy 11/12 Allegations
Syosset, New York financial advisor Martin Walcoe (CRD# 1593935) is under investigation in connection with allegations of unsuitable sales of Energy 11 and Energy 12, LP. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates.
Ron Kummerer: $315K Complaint Against Merrill Lynch Advisor
Exton, Pennsylvania financial advisor Ron Kummerer (CRD# 4344687) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Jason Young: $1 Million Complaint Against Creative Planning Advisor
Charlotte, North Carolina financial advisor Jason Young (CRD# 4604338) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Securities and Exchange Commission records show that he is currently registered as an investment advisor with Creative Planning, having previously been registered with Mercer Global Advisors.
