Representatives of broker-dealer firm David Lerner Associates (CRD# 5397) allegedly recommended unsuitable limited partnership investments to hundreds of customers, according...
Read MoreCategory Archives: Uncategorized
Carlson Law Files Claim Against Luong Pham & Cetera Advisors
Calrson Law has filed a FINRA arbitration claim on behalf of Springboro, Ohio financial advisor Luong Pham (CRD# 2830422). Records maintained by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Cetera Advisors broker is currently an investment advisor with Axim Planning & Wealth. The recently filed claim,… Read More »
Eric Baron: $156 Complaint Against Former SW Advisor
Hauppage, New York financial advisor Eric Baron (CRD# 2758724) recently received an investor complaint alleging he engaged in unauthorized trading and other forms of misconduct, leading to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker Network 1 Financial Securities, having previously been registered with Spartan Capital Securities and SW… Read More »
Mick Shonsey: Concentration Complaint Against Ex-Cetera Advisor
An investor complaint recently filed against Omaha financial advisor Mick Shonsey (CRD# 422524) alleges that he engaged in violations of securities industry rules and standards, resulting in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Brokers International Financial Services and as an investment advisor with Brokers… Read More »
Dave Smith: Intervest Advisor Faces $213K GWG Claim
Colorado Springs financial advisor Dave Smith (CRD# 850797) is involved in an investor complaint alleging he recommended unsuitable GWG L bonds and violated state and federal securities laws. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Intervest International Equities Corporation.
David Wells: $215K Bond Complaint Against BB Graham Advisor
Orange, California financial advisor David Wells (CRD# 1006555) has received multiple investor complaints alleging he violated securities industry rules, resulting in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with BB Graham & Company, having previously been registered with Kingswood Capital Partners and Accelerate… Read More »
Carlson Law Investigates Duane Pellman of Excel Wealth Management
The attorneys at Carlson Law represent eleven former clients of Duane Pellman (CRD# 2426979) and Excel Wealth Management. Carlson Law has filed an arbitration for those customers seeking to recover money lost in extraordinarily risky trading. In most, if not all of the cases, Pellman engaged in highly risky trading that caused devastating losses… Read More »
Guy Colella: $420K Trading Complaint Against Ameriprise Advisor
A recent investor complaint against Boca Raton financial advisor Guy Colella (CRD# 1646164) alleges that he engaged in excessive trading and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Raymond James & Associates.
Joseph Peduzzi: Why Did Morgan Stanley Fire Pittsburgh Advisor?
Pittsburgh financial advisor Joseph Peduzzi (CRD# 2350899) was recent terminated from a former member firm in connection with alleged rule violations. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Kestra Investment Services and Kestra Advisory Services, respectively, having previously been registered with… Read More »
Ray Kramer: $90K GWG Complaint Against Monon Wealth Advisor
Carmel financial advisor Ray Kramer (CRD# 3247207) is involved in an investor complaint alleging various forms of misconduct relating to the sale of GWG L bonds. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Purshe Kaplan Sterling and an investment advisor with Monon Wealth Management.
Daniel Garvin: Ex-Taylor Capital Advisor Lands GWG Complaint
Woodstock, Georgia financial Daniel Garvin (CRD# 1481768) allegedly recommended an unsuitable GWG L bond, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with World Equity Group and an investment advisor with Triumph Wealth Advisors, having previously been registered with Taylor Capital Management.
