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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Jim Kekeris: $750K Complaint Against Kekeris Financial Advisor
Manchester, Missouri financial advisor Jim Kekeris (CRD# 1453262) recently received an investor complaint alleging damages of more than $700,000. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Moloney Securities, doing business as Kekeris Financial Group.
Rocco Guidicipietro: Alexander Capital Advisor Denies $2.6mm Complaint
Recent investor complaints against Red Bank financial advisor Rocco Guidicipietro (CRD# 2489732) allege that he engaged in fraud and other forms of misconduct. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker with Alexander Capital.
Brian Hamm: $150K Complaint Against Luebeck Geisler Hamm Advisor
Slinger, Wisconsin financial advisor Brian Hamm (CRD# 5801533) allegedly engaged in misconduct that resulted in six-figure damages, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with JW Cole Financial and an investment advisor with JW Cole Advisors, doing business… Read More »
George Cairnes: Wells Fargo Advisor Faces Investor Complaint
A recent investor complaint against Houston, Texas financial advisor George Cairnes (CRD# 4068906) alleges the partial failure to repay a loan from a customer. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Luis Rivera: Did Ameriprise Advisor Misappropriate Funds?
Greensboro financial advisor Luis Rivera (CRD# 6378152) is involved in multiple investor complaints alleging he misappropriated customer funds. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Wells Fargo Clearing Services.
Cornerstone Advisors Anthony Napolitano & Jammie Avila Face Complaint
A recent investor complaint against Henderson, Nevada financial advisors Anthony Napolitano (CRD# 4921500) and Jammie Avila (CRD# 3100097) alleges that they failed to uphold their responsibilities. Records provided by the Financial Industry Regulatory Authority shows that each is registered as a broker and an investment advisor with Independent Financial Group, doing business as Cornerstone… Read More »
Merriam Rink: GWG L Bond Complaint Against Ausdal Advisor
A recent investor complaint against Bettendorf, Iowa financial advisor Merriam Rink (CRD# 1380705) alleges that she engaged in various forms of misconduct relating to GWG L bond recommendations, resulting in losses. Financial Industry Regulatory Authority records show that she is currently a broker and an investment advisor with Ausdal Financial Partners.
Mike Mirich: $50K-$100K Complaint Against Income Pros Advisor
Escondido, California financial advisor Mike Mirich (CRD# 1979328) is involved in an investor complaint alleging his investment advice resulted in damages as high as $100,000. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Center Street Securities, doing business as Income Pros Financial… Read More »
Charles Shields Jr.: Why Did FINRA Investigate Wells Fargo Advisor?
A recent investigation against Wayne, Pennsylvania financial advisor Charles Shields Jr. (CRD# 2067177) concerned allegations that he engaged in unauthorized trading. Financial Industry Regulatory Authority records show that the Wells Fargo Clearing Services broker and investment advisor has also received an investor complaint that reached a six-figure settlement.
Michael Di Pietro: Centaurus Advisor Denies $100K Complaint
A recent investor complaint against Pasadena financial advisor Michael Di Pietro (CRD# 2811047) alleges that he provided misleading information regarding high-risk investments. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Centaurus Financial.
