A recent investor complaint against Austin, Texas financial advisor Drew Freides (CRD# 4262911) alleges that his conduct resulted in damages....
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Anthony Martinelli & Joe Hirthler: LPL Advisors Face $3mm Complaint
Pennsylvania financial advisors Anthony Martinelli (CRD# 2590758) and Joe Hirthler (CRD# 1370229) recently received an investor complaint alleging that their conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that each is registered as a broker with LPL Financial and an investment advisor with Jacobi Capital Management.
Bryce Hamilton: LPL Advisor Discloses $300K Complaint
San Diego, California financial advisor Bryce Hamilton (CRD# 4296113) 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 LPL Financial, doing business as Highly Appreciated Capital.
Hemant Kathuria: $100K-$200K Complaint Against AGP Advisor
Newport Beach, California financial advisor Hemant Kathuria (CRD# 5380092) recently received an investor complaint alleging that a GWG L-bond investment resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Alliance Global Partners, or AGP.
Marcial Vargas: Ameriprise Advisor Faces $600K Complaint
Redwood City, California financial advisor Marcial Vargas (CRD# 5953263) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Barry Calabar: SEC Investigating PHX Financial Advisor
Fort Lauderdale, Florida advisor Barry Calabar (CRD# 4749342) is under investigation by the US Securities and Exchange Commission in connection with alleged securities law violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with PHX Financial, and that he has received several investor complaints.
Felipe Colón: $500K Complaint Against Belpointe, Ex-LPL Advisor
Sarasota, Florida financial advisor Felipe Colón (CRD# 5462167) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently an investment advisor with Belpointe Asset Management and a partner at Sanderling Partners.
Donald Peabody: Osaic Advisor Discloses $500K Complaint
A recent investor complaint against Coos Bay, Oregon financial advisor Donald Peabody (CRD# 2175218) alleges that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth.
Brian Nelson: $500K Complaint Against Emerson/Versity Advisor
Multiple investor complaints allege that Mission Viejo, California financial advisor Brian Nelson (CRD# 5065593) violated securities industry rules and regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, and that he is the president of Versity Investments, formerly known as NB Private Capital.
Scott Thole: Complaint Against Merrill Advisor Settles for $209K
Saint Paul, Minnesota financial advisor Scott Thole (CRD# 4516390) allegedly misrepresented an options 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 Merrill Lynch.
Reed Smith: Did Merrill Lynch Advisor Misappropriate Funds?
A recent investor complaint against Houston, Texas financial advisor Reed Smith (CRD# 2708938) alleges that he misappropriated customer funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
