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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Royal Alliance Advisor Michael Gustafson Faces $120K Complaint
Minneapolis financial advisor Michael Gustafson (CRD# 2202450) is involved in an investor complaint alleging his investment advice resulted in losses. Records maintained by the Financial Industry Regulatory Authority show that he is registered as a broker with Royal Alliance Associates and as an investment advisor with Focus Financial.
Timothy Connor: McKinley Financial Advisor Denies Investor Complaint
A new investor complaint against Redwood City, California financial advisor Timothy Connor (CRD# 2222028) alleges that he recommended an unsuitable investment. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as McKinley Financial Group.
Larry Law: $400K GWG Complaint Against JRL Capital Advisor
Irvine, California financial advisor Larry Law (CRD# 1273118) allegedly breached his fiduciary duty and recommended unsuitable investments in GWG L bonds, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with JRL Capital Corporation and JRL Capital Advisors.
Lori Copeland: Why Did LPL Fire Charlotte Advisor?
Charlotte, North Carolina financial advisor Lori Copeland (CRD# 6437019) was recently terminated from former member firms in connection with alleged rule violations. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that she is currently not registered as a broker, though she is registered as an investment adviser… Read More »
Otho Evans: Did RBC Advisor Misrepresent Investments?
Houston financial advisor Otho Evans (CRD# 1199304) allegedly made misrepresentations regarding the investments he recommended, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with RBC Capital Markets. Mr. Evans’ BrokerCheck report discloses one investor complaint. Filed in… Read More »
Alexander Leon: FINRA Investigates Signature Securities Advisor
The Financial Industry Regulatory Authority recently initiated an investigation against Brooklyn financial advisor Alexander Leon (CRD# 2336148) in connection with alleged disclosure failures. FINRA records show that Mr. Leon is currently registered as a broker and an investment advisor with Flagstar Advisors and Signature Securities Group Corporation, respectively.
Greg Foster: $300K Complaint Against UBS Financial Advisor
Wayzata, Minnesota financial advisor Greg Foster (CRD# 1532735) recently received an investor complaint alleging his conduct resulted in six-figure losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with UBS Financial Services.
Greg Sain: Stifel Nicolaus Denies Suitability Complaint
Recent, denied investor complaints against Beverly Hills financial advisor Greg Sain (CRD# 1629842) alleged that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Morgan Stanley, having previously been registered with Stifel Nicolaus & Company.
Jim Margraf: $100K Complaint Against Center Street Advisor
Springfield, Missouri financial advisor Jim Margraf (CRD# 6517554) recently received an investor complaint alleging his advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is currently a broker with Center Street Securities and an investment advisor with LaTour Asset Management.
Tim Sherer: Complaint Against Sherer Group Advisor Seeks $448K
Los Gatos financial Tim Sherer (CRD# 833618) recently received an investor complaint alleging elder abuse and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is registered as a broker and an investment advisor with Emerson Equity, doing business as The Sherer Group.
