Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
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CIG Advisors Jeffrey Segal & Seth Renaud: Franklin Square Complaint
Recent investor complaints against Glastonbury, Connecticut financial advisors Jeffrey Segal (CRD# 1886939) and Seth Renaud (CRD# 4946831) alleged that they recommended unsuitable investments in a Franklin Square business development company and various real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that both are registered as a broker and an investment advisor… Read More »
Lincoln Financial Advisor Andrew Horowitz: Atlas Growth Complaint
Hunt Valley, Maryland financial advisor Andrew Horowitz (CRD# 2917830) allegedly recommended an unsuitable investment in Atlas Growth Partners, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Stacy Spearman: ETF Complaint Against Renasant Financial Advisor
An investor complaint against Tupelo, Mississippi financial advisor Stacy Spearman (CRD# 3158108) alleges misconduct relating to an exchange-traded fund investment. Records provided by the Financial Industry Regulatory Authority show that she is a broker and an investment advisor with LPL Financial, doing business as Renasant Financial Services.
Frank Chiodi Jr.: Did Precision Advisor Misrepresent REIT?
Scarsdale financial advisor Frank Chiodi Jr. (CRD# 3189448) recently received an investor complaint alleging his advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Royal Alliance Associates, doing business as Precision Wealth Solutions.
Jimmy Tammaro: TGP Securities Advisor Faces $940K Complaint
A recent investor complaint against Summit financial advisor Jimmy Tammaro (CRD# 1174412) alleges fraud resulting in damages of more than $900,000. Financial Industry Regulatory Authority records show that he is a broker with TGP Securities.
Debbie Birch: $200K Complaint Against Roaring Fork Advisor
Glenwood Springs, Colorado financial advisor Debbie Birch (CRD# 4043371) allegedly provided investment advice that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Cambridge Investment Research, as well as a representative of Roaring Fork Financial Services.
Stefan Shimshidian: Cabot Lodge Advisor Faces $235K GWG Complaint
A recent investor complaint against Cabot Lodge Securities advisor Stefan Shimshidian (CRD# 3043669) alleges six-figure damages in connection with a GWG L bond investment. Public records filed with a US bankruptcy court in Texas disclose that one of his current or former clients is listed as a creditor for an $85,000 investment in a… Read More »
Centaurus Advisor Alexis Reynoso: $200K GWG L Bond Investments
At least two current or former customers of Centaurus Financial advisor Alexis Reynoso (CRD# 6393158) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court. These records disclose investments totaling $200,000. Financial Industry Regulatory Authority records show that Ms. Reynoso is based… Read More »
IFP’s Aaron Cruz: Customer Invested $150K in GWG
At least one current or former client of IFP Securities advisor Aaron Cruz (CRD# 1961596) is listed as a creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records describe a $150,000 investment. Financial Industry Regulatory Authority records show that Mr. Cruz is… Read More »
Kevin Nichols: IAA Advisor’s Customer Listed as GWG Creditor
At least one current or former customer of International Assets Advisory advisor Kevin Nichols (CRD# 1961596) is listed as a creditor for an investment in GWG L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court, these records disclose an investment of more than $284,000. Financial Industry Regulatory Authority… Read More »
