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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Alan Katz: Did UBS Advisor Steal Customer’s Funds?
Jericho, New York financial advisor Alan Katz (CRD# 834107) allegedly stole a client’s 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 UBS Financial Services, and that he is also registered with the firm’s Boca Raton, Florida office.
Kevin Gutwein: Westpoint Gutwein Advisor Lands $350K Complaint
Indianapolis financial advisor Kevin Gutwein (CRD# 2904262) allegedly recommended unsuitable investments, 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. His website shows that he is a representative of Westpoint Gutwein Group, which offers securities and… Read More »
Jonathan Bourgeois: $4 Million Complaint Against Wells Fargo Advisor
San Diego financial advisor Jonathan Bourgeois (CRD# 5757664) recently received an investor complaint alleging that his conduct resulted in damages exceeding $4 million. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Cindy Beyerlein: FINRA Suspends Former Ameriprise Advisor
Former Lancaster, Pennsylvania financial advisor Cindy Beyerlein (CRD# 4320421) has been suspended in connection with allegations that she violated industry rules. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Kingswood Capital Partners, having previously been registered with Ameriprise Financial Services.
Jeff Conforti: Investor Complaint Against Conforti Financial Advisor
Campbell, California financial advisor Jeff Conforti (CRD# 1624993) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Securities America. His website shows that he is a representative of Conforti Financial, which offers securities and… Read More »
Michelle Stebbins: $305K Complaint Against Stifel Advisor
Southfield, Michigan financial advisor Michelle Stebbins (CRD# 4156378) allegedly failed in her supervisory responsibilities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Brad Bergdahl: Premier Wealth Advisor Faces Investor Complaint
Cando, North Dakota financial advisor Brad Bergdahl (CRD# 1432349) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the Cetera broker and investment advisor is also the owner of Premier Wealth Management Group.
Mark VanderHagen: Wealth Advisors Group Faces $115K Complaint
A recent investor complaint against Fort Wayne, Indiana financial advisor Mark VanderHagen (CRD# 1634101) alleges that he provided misleading information regarding an investment. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Purshe Kaplan Sterling broker is currently an investment advisor with Wealth Advisors Group.
Bill Hurckes: $150K GWG Complaint Against Clarity Group Advisor
East Peoria, Illinois financial advisor Bill Hurckes (CRD# 2612833) recently received an investor complaint alleging that he committed fraud and violated securities laws in connection with the sale of GWG L bonds. Financial Industry Regulatory Authority records show that the Ausdal Financial Partners broker and investment advisor is also the owner of Clarity Group… Read More »
Diego Canalda: Raymond James Denies $203K Complaint
Miami financial advisor Diego Canalda (CRD# 2952690) recently received an investor complaint alleging that he recommended an unsuitable bond. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Raymond James & Associates.
