Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreCategory Archives: Uncategorized
Richard Schwartz: Did Ex-National Securities Advisor Sell GWG L Bonds?
At least 11 current or former customers of former National Securities advisor Richard Schwartz (CRD# 2037308) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court in Texas. The records describe investments totaling more than $1.5 million. Financial Industry Regulatory Authority records… Read More »
Centaurus Advisor Steven Lazette: Client Bought GWG L Bond
At least one current or former client of Centaurus Financial advisor Steven Lazette (CRD# 5878255) is listed as a creditor for an investment in an L Bond issued by GWG Holdings, according to public records. These records, filed with a US bankruptcy court, describe an investment of $120,000. Financial Industry Regulatory Authority records show… Read More »
RF Lafferty’s Abraham Heller: Client Invested $350K in GWG
At least one current or former client of RF Lafferty & Company advisor Abraham Heller (CRD# 1636080) is listed as a creditor for investments in GWG Holdings L bonds and/or preferred stock. Filed with a US bankruptcy court, the records disclose investments of $350,000. Financial Industry Regulatory Authority records show that Mr. Heller is… Read More »
Steven Standley: $190K GWG Complaint Against DH Hill Advisor
A recent investor complaint against DH Hill Securities financial advisory Steven Standley (CRD# 4282051) alleges fraud connected to a GWG L bond investment. Public records filed with a US bankruptcy court in Texas show that at least one current or former client of Mr. Standley is listed as a creditor for an approximately $85,000… Read More »
Robert Bragg: Did Newbridge Advisor Recommend GWG?
Public records reveal that at least one current or former client of Newbridge Securities advisor Robert Bragg (CRD# 4767535) is listed as creditor for an investment in GWG L bonds. The records, filed with a US bankruptcy court, describe an investment of $84,000. Financial Industry Regulatory Authority records show that the broker and investment advisor… Read More »
Jamie Nowakowski: Equitable Advisor Faces 6-Figure Complaints
Equitable Advisors representative Jamie Nowakowski (CRD# 4472043) has received multiple investor complaints alleging her conduct resulted in six-figure damages. Public records filed with a US bankruptcy court in Texas show that at least one current or former client of Ms. Nowakowski is listed as creditor for a $75,000 investment in GWG Holdings. Financial Industry… Read More »
Lee Fotsch: Big River Advisor’s Client Bought GWG L Bond
At least one current or former customer of former Centaurus Financial representative Lee Fotsch (CRD# 2003513) is listed as creditor for an investment in a GWG L bond. Filed with a US bankruptcy court, these records describe an investment of $75,000. Financial Industry Regulatory Authority records show that the Fort Collins-based advisor is the… Read More »
Gary Korolev: Did Ex-Spires Advisor Recommend GWG?
At least six current or former customers of Vienna, Virginia financial advisor Gary Korolev (CRD# 1609191) are listed as creditors for investments in GWG Holdings, according to records filed with a US bankruptcy court. These records describe investments totaling more than $500,000. Financial Industry Regulatory Authority records show that Mr. Korolev was formerly registered as… Read More »
Todd Kalish: GWG Complaint Against Park Edge Advisor
Cleveland financial advisor Todd Kalish (CRD# 2865875) recently received an investor complaint alleging he recommended an unsuitable GWG L bond. At least 15 current or former clients of Park Edge Group, an entity described in FINRA records as the LLC Mr. Kalish used to receive funds for his advisory business, are listed as creditors… Read More »
Alliance Global Partners’ Salvatore Renzo: GWG Investments
At least two current or former clients of Alliance Global Partners advisor Salvatore Renzo (CRD# 2518851) 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 reflect investments totaling more than $180,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
