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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Andrew Goldwater: Stifel Denies $178K Concentration Complaint
A recent, denied investor complaint against Conshohocken financial advisor Andrew Goldwater (CRD# 866798) alleged that he unsuitably recommended speculative investments. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor registered with Stifel Nicolaus & Company.
Artie Grossman: $101K Complaint Against Ameriprise Advisor
Jupiter, Florida financial advisor Artie Grossman (CRD# 1020971) has been involved in multiple investor complaints alleging his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Royal Alliance Associates.
Dave Stamper: Suitability Complaint Against Stamper Wealth Advisor
Cary, North Carolina financial advisor Dave Stamper (CRD# 2301862) recently received an investor complaint alleging he recommended unsuitable products. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Cetera Advisor Networks, doing business as Stamper Wealth Management.
Steven Katzenstein: $75K Complaint Against HPG Wealthcare Advisor
Raleigh financial advisor Steven Katzenstein (CRD# 2380645) is involved in an investor complaint alleging he recommended an unsuitable investment to one of his customers. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Avantax Investment Services, as well as a representative of HPG Wealthcare… Read More »
Ferguson Financial’s Rodney Ferguson: Complaints Allege $530K Losses
Recent investor complaints against Chesterfield, Missouri financial advisor Rodney Ferguson (CRD# 2482868) allege that his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Ferguson Financial Group.
PHX Advisor Mark Hermes: Churning Complaint Denied by Firm
Fort Lauderdale financial advisor Mark Hermes (CRD# 4200965) recently received a denied investor complaint alleging that his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with PHX Financial, having previously been registered with Joseph Gunnar & Company.
Sterling Hirsch: GWG Complaint Against Sterling First Advisor
A recent investor complaint against Yucaipa, California financial advisor Sterling Hirsch (CRD# 4867105) alleges misconduct connected to a GWG L bond investment. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Infinity Financial Services, doing business as Sterling First Financial.
Matt Shaughnessy: $175K UIT Complaint Against Ameriprise Advisor
Henderson, Nevada financial advisor Matt Shaughnessy (CRD# 2457058) has received multiple investor complaints alleging his conduct resulted in losses. 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 UBS Financial Services.
Tony Jacobi: American Equity Advisor Faces GWG Complaint
New Albany, Indiana financial advisor Tony Jacobi (CRD# 1217509) is involved in an investor complaint alleging that an investment in a GWG L bond resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker registered with American Equity Investment Corporation.
Hans Sharma: REIT Complaint Against Sharma Associates Advisor
Conshohocken financial advisor Hans Sharma (CRD# 1920833) recently received an investor complaint alleging he recommended unsuitable real estate investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and an investment advisor with Sharma Associates.
