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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Nick Taggart: Suitability Complaint Against Ex-Cetera Advisor
Multiple investor complaints against Canby, Oregon financial advisor Nick Taggart (CRD# 4353676) allege the recommendation of unsuitable investments. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with IMST Distributors and an investment advisor with Alpine Capital Research.
Ex-Cetera Advisor Brandon Bowman: Complaint Settles for $200K
San Antonio-based financial advisor Brandon Bowman (CRD# 4871073) recently received an investor complaint alleging the recommendation of unsuitable investments. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with Ameritas Investment Company and an agent of Granite Financial Services.
Don Houston: $105K Complaint Against US Investors Advisor
A pending investor complaint against Vancouver, Washington financial advisor Don Houston (CRD# 5527507) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as US Investors International.
Chay Lapin: Former WealthForge Advisor Faces $4mm Skyloft Complaint
Indianapolis financial advisor Chay Lapin (CRD# 6275140) is involved in investor complaints alleging misconduct related to an investment in NP Skyloft DST. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with FNEX Capital, having previously been registered with WealthForge Securities in Torrance, California.
Jason Holowinski: Janney Montgomery Scott Denies 6-Figure Complaints
Recent investor complaints against Syracuse financial advisor Jason Holowinski (CRD# 2390903) alleged that he made unsuitable investment recommendations. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Janney Montgomery Scott.
Roshan Perera: Janues Capital Advisor Faces Federal Fraud Charges
The US Department of Justice recently announced fraud charges against former Queens investment advisor Roshan Perera (CRD# 4716321). According to records maintained by the Financial Industry Regulatory Authority and a press release by the US Attorney’s Office for the Eastern District of New York, the former Aegis Capital representative and executive director of Janues… Read More »
Peter Maller: $100K Complaint Against Maller Wealth Advisor
A recent investor complaint against Hunt Valley, Maryland financial advisor Peter Maller (CRD# 2322403) concerns an investment in Atlas Growth Partners. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Lincoln Financial Advisors, and a representative of Maller Wealth Advisors.
Brad Feldman: Security Service Advisor Faces Real Estate Complaint
Multiple investor complaints against San Antonio financial advisor Brad Feldman (CRD# 2858061) allege that he recommended unsuitable investments. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Raymond James Financial Service, and a representative of Security Service Investment Group.
Gregory Barson: REIT Complaint Against Ex-Crown Capital Advisor
Las Vegas financial advisor Gregory Barson (CRD# 4874815) is involved in an investor complaint relating to a non-traded REIT and other products. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Investment Planners, having previously been registered with Crown Capital Securities.
Kent Herring: $750K Complaint Against Ex-Voya Advisor
Gulf Breeze, Florida financial advisor Kent Herring (CRD# 5417262) is involved in an investor complaint alleging damages of more than $700,000. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Cambridge Investment Research, having previously been registered with Voya Financial Advisors.
