Green Bay, Wisconsin financial advisor Brandon Larsen (CRD# 6192239) was recently sanctioned and suspended in connection with alleged rule violations....
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Richard Belz: RF Lafferty Advisor Received GWG L Bond Complaint
Records filed with a US bankruptcy court disclose that at least seven current or former customers of RF Lafferty & Company advisor Richard Belz (CRD# 1140219) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments of more than $500,000. Records published by the Financial Industry Regulatory… Read More »
Greg McLeod: Newbridge Advisor Faces $50K-$100K Complaint
Records filed with a US bankruptcy court indicate that at least one current or former customer of Newbridge Securities Corporation representative Greg McLeod (CRD# 2741097) is listed as a creditor for investments in GWG Holdings L bonds. The records, filed in Texas, describe investments of more than $500,000. Records maintained by the Financial Industry Regulatory… Read More »
Barry Cabalar: Did PHX Advisor Recommend GWG L Bonds?
Records filed with a US bankruptcy court show that at least one current or former client of Phoenix Financial Services representative Barry Cabalar (CRD# 4749342) is listed as a creditor for investments in GWG Holdings L bonds. The records, filed with a US bankruptcy court, describe an investment of at least $386,000. Records maintained… Read More »
Valentino Scott: VS Associates Advisor Faces Bond Complaints
Records filed with a US bankruptcy court indicate that at least 10 current and/or former clients of Centaurus Financial advisor Valentino Scott (CRD# 1497615) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. These records describe investments totaling at least $1.5 million. Records maintained by the Financial Industry Regulatory Authority show… Read More »
Thomas Schultz: GWG Complaint Against LyfeBeast Advisor
Records filed with a US bankruptcy court indicate that at least 39 current and/or former clients of Titan Securities advisor Thomas Schultz (CRD# 5614228) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. These records describe investments totaling at least $5.8 million. Records maintained by the Financial Industry Regulatory… Read More »
Scott Lee: Former Moloney, Ausdal Advisor Faces GWG L Bond Complaints
Multiple recent investor complaints against former Moloney Securities and Ausdal Financial advisor Scott Lee (CRD# 4409541) concern investments in GWG L bonds. Financial Industry Regulatory Authority records show that the former Cold Spring, Minnesota representative is not currently registered as a broker or as an investment advisor.
Fera Shivaee: $100K Bond Complaint Against Centaurus Advisor
Records filed with a US bankruptcy court show that at least 7 current and/or former clients of Centaurus Financial advisor Fera Shivaee (CRD# 2271590) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling at least $750,000. Records maintained by the Financial Industry Regulatory Authority… Read More »
Alan Mason: $5 Million GWG Complaint Against Ex-WestPark Advisor
A recent investor complaint against former WestPark Capital financial advisor Alan Mason (CRD# 1302190) alleges damages of $5 million in connection with an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is currently a broker with Bradley Woods & Company in New York City.
Dean Paugh: $109K Complaint Against Raymond James Advisor
Birmingham, Alabama financial advisor Dean Paugh (CRD# 1068991) is involved in an investor complaint alleging that his conduct resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Raymond James & Associates.
American Trust’s Noel Bragg Receives $50K GWG L Bond Complaint
San Clemente financial advisor Noel Bragg (CRD# 1175231) allegedly breached his fiduciary duty and engaged in other forms of misconduct, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services.
