Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Jim Saar: Ex-Center Street Advisor Faces $150K Complaint
Former Center Street Securities advisor Jim Saar (CRD# 1358375) allegedly recommended an unsuitable investment, according to a recent investor complaint. Additionally, a former customer of his is listed as creditor for an $80,000 L bond investment, according to public records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that he… Read More »
David Yu: IFP Advisor Faces $76K GWG Complaint
At least one current or former customer of IFP Securities advisor David Yu (CRD# 5484970) is listed as creditor for an investment in GWG Holdings preferred stock, according to public records. He has also received an investor complaint in connection with a GWG Holdings investment. Filed with a US bankruptcy court in Texas, these… Read More »
Ivan Gefen: $1mm Complaint Against Newbridge Advisor
Boca Raton financial advisor Ivan Gefen (CRD# 1229418) allegedly engaged in conduct that resulted in damages of more than $1 million, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities and Newbridge Financial Services Group, respectively.
Rush Hodgin: $350K Complaint Against Hodgin Chapman Advisor
Pittsburgh financial advisor Rush Hodgin (CRD# 2169424) recently received an investor complaint alleging his conduct resulted in more than $350,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, where he is a member of the practice Hodgin, Chapman & Associates.
Theresa Allen: $300K Complaint Against Ex-First Republic Advisor
A recent investor complaint against Newport Beach financial advisor Theresa Allen (CRD# 2183693) alleges six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with RBC Capital Markets, having previously been registered with First Republic Securities Company.
Curtis Sathre III: Did JRP Capital Advisor Sell GWG Stock?
At least one current or former customer of JRL Capital advisor Curtis Sathre III (CRD# 2459115) is listed as creditor for an investment in GWG Holdings preferred stock, according to public records filed with a US bankruptcy court. These records describe an investment of $100,583. Financial Industry Regulatory Authority records show that the Irvine,… Read More »
Chris Weismiller: Did Directional Wealth Advisor Sell GWG L Bonds?
At least two current or former customers of IFP Securities financial advisor Chris Weismiller (CRD# 5360051) are listed in public records as creditors for investments in GWG L bonds and/or preferred stock. Filed with a bankruptcy court in Texas, these records disclose investments of $300,000 in total. Financial Industry Regulatory Authority records show that… Read More »
West Advisory’s Walter West: Clients Invested in GWG Holdings
At least two current or former customers of West Advisory Group financial advisor Walter West (CRD# 2167649) are listed as creditors for investments in GWG L bonds and/or preferred stock, according to a recent investor complaint. Filed with a US bankruptcy court in Texas, these records disclose investments totaling more than $250,000. Securities and… Read More »
Mike Kloubec: Did Ameriprise Advisor Steal Investor Funds?
Monticello, Minnesota financial advisor Mike Kloubec (CRD# 2415021) recently received an investor complaint alleging he committed theft. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, and that he has received other investor complaints.
Muhammad Wahdy: Merrill Lynch Fired Wahdy Capital Advisor
San Francisco financial advisor Muhammad Wahdy (CRD# 6266210) was recently fired by Merrill Lynch in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Wahdy Capital.
