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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Jack Yvars: Capital Advisory President Faces $250K Complaint
A recent investor complaint against Concord, New Hampshire financial advisor Jack Yvars (CRD# 6377111) details allegations concerning an investment in mutual funds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Royal Alliance Associates, as well as the president of Capital Advisory Group.
Scott Kemps: $400K Complaint Against Spectrum Capital Advisor
Melbourne, Florida financial advisor Scott Kemps (CRD# 1849069) allegedly recommended unsuitable investments that resulted in six-figure losses, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Great Point Capital, an investment advisor with BlueSky Investment Advisers, and the president of Spectrum Capital… Read More »
Tim Thelen: $1mm GWG Complaint Against Ex-Aeon Capital Advisor
A recent investor complaint against San Clemente financial advisor Tim Thelen (CRD# 1924966) alleges that he engaged in elder abuse and other forms of misconduct in connection with GWG L bonds and other products. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with American Trust… Read More »
Ex-JP Morgan Advisor Matt Kutcher Faces Investor Complaint
Palm Beach financial advisor Matt Kutcher (CRD# 2456469) is involved in an investor complaint alleging he failed to follow a customer’s instructions. Financial Industry Regulatory Authority records show that the former JP Morgan Securities representative is currently a broker and an investment advisor with Wells Fargo Clearing Services.
Christie Caliva: Commonwealth Advisor Faces Franklin Square Complaint
San Diego financial advisor Christie Caliva (CRD# 5527773) is involved in an investor complaint stemming from an investment in Franklin Square Investment Corp. III. Records provided by the Financial Industry Regulatory Authority show that she is currently registered as a broker and an investment advisor with Commonwealth Financial Network.
Glenn Guilbault Jr.: Nola Wealth Advisor Faces Investor Complaint
A recent investor complaint against Metairie, Louisiana financial advisor Glenn Guilbault Jr. (CRD# 4309287) alleges that his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker with Cetera Advisors, doing business as Nola Wealth Management.
Stan Smith: $250K Complaint Against Wells Fargo Advisor
Burlington, North Carolina (CRD# 1317559) allegedly provided unsuitable investment advice to a client, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Wells Fargo Clearing Services.
Mark Ferrer: Did Nola Wealth Advisor Recommend Unsuitable Product?
Metairie, Louisiana financial advisor Mark Ferrer (CRD# 4309287) recently received an investor complaint alleging his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is currently a broker with Cetera Advisors, doing business as Nola Wealth Management.
John Forster: Merrill Lynch Advisor Receives $272K Annuity Complaint
A recent investor complaint against Washington, DC financial advisor John Forster (CRD# 1303832) alleges that he failed to act in the investor’s best interest, leading to damages of more than $200,000. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with Merrill Lynch.
Doug Schmitz: Classic Advisor Sanctioned by SEC Over LETFs
Fargo-based financial advisor Doug Schmitz (CRD# 1771132) allegedly recommended unsuitable and over-concentrated investments in leveraged exchange-traded funds to his clients, according to a recent sanction by the Securities and Exchange Commission. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with Classic and an investment advisor… Read More »
