Representatives of broker-dealer firm David Lerner Associates (CRD# 5397) allegedly recommended unsuitable limited partnership investments to hundreds of customers, according...
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Scott Lee: Former Moloney, Ausdal Advisor Faces GWG L Bond Complaints
Multiple recent investor complaints against former Moloney Securities and Ausdal Financial advisor Scott Lee (CRD# 4409541) concern investments in GWG L bonds. Financial Industry Regulatory Authority records show that the former Cold Spring, Minnesota representative is not currently registered as a broker or as an investment advisor.
Fera Shivaee: $100K Bond Complaint Against Centaurus Advisor
Records filed with a US bankruptcy court show that at least 7 current and/or former clients of Centaurus Financial advisor Fera Shivaee (CRD# 2271590) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling at least $750,000. Records maintained by the Financial Industry Regulatory Authority… Read More »
Alan Mason: $5 Million GWG Complaint Against Ex-WestPark Advisor
A recent investor complaint against former WestPark Capital financial advisor Alan Mason (CRD# 1302190) alleges damages of $5 million in connection with an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is currently a broker with Bradley Woods & Company in New York City.
Dean Paugh: $109K Complaint Against Raymond James Advisor
Birmingham, Alabama financial advisor Dean Paugh (CRD# 1068991) is involved in an investor complaint alleging that his conduct resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Raymond James & Associates.
American Trust’s Noel Bragg Receives $50K GWG L Bond Complaint
San Clemente financial advisor Noel Bragg (CRD# 1175231) allegedly breached his fiduciary duty and engaged in other forms of misconduct, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services.
Patrick Tantoco: REIT Complaint Against Tantoco Financial Advisor
Honolulu financial advisor Patrick Tantoco (CRD# 5249850) is involved in an investor complaint alleging his conduct resulted in damages. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Royal Alliance Associates. He is also the president of Tantoco Financial.
David Wampler: $100K Bond Complaint Against Moloney Advisor
Kerrville, Texas financial advisor David Wampler (CRD# 2906256) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Moloney Securities.
Matthew DelPriore: MML Advisor Faces Investor Complaint
A recent investor complaint against Lincroft, New Jersey financial advisor Matthew DelPriore (CRD# 4928651) alleges that misleading information about an investment led to losses. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with MML Investors Services.
Mark Zorn: Suitability Complaint Against FFEC Wealth Advisor
Addison, Texas financial advisor Mark Zorn (CRD# 2056837) allegedly made unsuitable recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Kestra representative is currently registered as a broker and an investment advisor with Cetera Advisor Networks, doing business as FFEC Wealth Partners.
Ray Reese: $450K Complaint Against Reese Financial Advisor
Recent investor complaints against Farmington, Missouri financial advisor Ray Reese (CRD# 1694620) allege that he made unsuitable investment recommendations. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with Money Concepts Capital Corporation and an investment advisor with Money Concepts Advisory Service, doing business as Reese… Read More »
