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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Carl Williams: $500K Complaint Against River City Wealth Advisor
A recent investor complaint against Peoria financial advisor Carl Williams (CRD# 1721736) alleges that his investment advice resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor registered with LPL Financial, doing business as River City Wealth Advisors.
J. Graydon Coghlan: $50K-$100K REIT Complaint Against CFG Advisor
San Diego financial advisor J. Graydon Coghlan (CRD# 2281065) is involved in an investor complaint stemming from an investment in a non-traded REIT. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Securities America. He is also the President and CEO of Coghlan Financial Group.
Rachel Heege: REIT Complaint Against Ex-National Securities Advisor
A new investor complaint filed against Lake Ronkonkoma, New York financial advisor Rachel Heege (CRD# 4834840) alleges that she engaged in misconduct relating to a real estate investment trust product. Records provided by the Financial Industry Regulatory Authority indicate that she is currently registered as a broker and an investment advisor with B. Riley… Read More »
Ryan Sherer: $448K Complaint Against Sherer Group Advisor
Los Gatos financial advisor Ryan Sherer (CRD# 5952617) is involved in an investor complaint alleging he violated securities industry laws and rules, resulting in losses exceeding $400,000. Records maintained 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… Read More »
Michael Rosenmayer: Oppenheimer Denies Complaint Against Advisor
Los Angeles financial advisor Michael Rosenmayer (CRD# 2352488) has been involved in numerous investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and as an investment advisor with Oppenheimer & Company.
Roderick Rodriguez: $50K Complaint Against Ex-Essex National Advisor
Bronx financial advisor Roderick Rodriguez (CRD# 2680445) allegedly over-concentrated assets in a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Infinex Investments, having formerly been registered with Essex National Securities.
Scott Trease: Sapere Wealth Advisor Settles SEC Fraud Charges
The Securities and Exchange Commission recently announced settled charges against Matthews, North Carolina financial advisor Scott Trease (CRD# 1298222) and his advisory firm Sapere Wealth Management. Records maintained by the Securities and Exchange Commission show that the charges stem from an investigation launched in April 2022.
Armin Hinkelman: Thrivent Advisor Resigns After Investigation
Watertown, South Dakota financial advisor Armin Hinkelman (CRD# 1583833) recently resigned from his position at Thrivent Investment Management in connection with alleged rule violations. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is currently registered as an investment advisor with Vantage Financial Partners.
Ex-SW Financial Advisor Donald Johns Faces $938K Complaint
A new investor complaint filed against Melville, New York financial advisor Donald Johns (CRD# 4566047) alleges unauthorized trading and other rule violations that resulted in damages exceeding $900,000. Financial Industry Regulatory Authority records show that he is a broker registered with SW Financial, having previously been registered with Arive Capital Markets.
C. Raymond Weldon: $500K Claim Against Weldon & Co. Advisor
Boca Raton financial advisor C. Raymond Weldon (CRD# 1030659) recently received an investor complaint alleging his advice resulted in damages of $500,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Independent Financial Group, doing business as Weldon & Company.
