Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Don Hancock: SEC Investigates Moloney Securities CEO
Manchester, Missouri financial advisor Don Hancock (CRD# 828811) is under investigation by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, where he serves as the firm’s Chief Executive Officer. Mr. Hancock’s BrokerCheck report discloses the SEC investigation into his… Read More »
Chris Haberl: Did Centaurus Advisor Recommend GWG L Bonds?
At least one current or former customer of Centaurus Financial advisor Chris Haberl (CRD# 2279941) is listed as a creditor for investments in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records disclose investments totaling $90,000. Financial Industry Regulatory Authority records show that he is a broker… Read More »
Mike Wallace: Ex-Independence Capital Advisor’s Client Invested in GWG
At least one current or former client of former Independence Capital Company advisor Mike Wallace (CRD# 2237683) is listed in public records as a creditor for an investment in GWG Holdings preferred stock. Filed with a US bankruptcy court, these records disclose an investment of $88,508.35. Financial Industry Regulatory Authority records show that Mr…. Read More »
Jane Prugsanapan: CFI Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Jane Prugsanapan (CRD# 5270442) is listed as a creditor for an investment in GWG L bonds, according to public records. These records, filed with a US bankruptcy court, disclose an investment of $80,000. Financial Industry Regulatory Authority records show that Ms. Prugsanapan, who… Read More »
Pamela Jacobs: Did Frontier Wealth Advisor Recommend GWG L Bonds?
At least one current or former customer of Frontier Wealth Strategies advisor Pamela Jacobs (CRD# 3064512) is listed in public records as a creditor for an investment in GWG Holdings L bonds and/or preferred stock. Filed with a bankruptcy court in Texas, these records describe an investment of more than $80,000. Securities and Exchange… Read More »
Shane Desherlia: $100K-$500K Bond Complaint Against Moloney Advisor
Moloney Securities financial advisor Shane Desherlia (CRD# 6800960) recently received investor complaints alleging negligence in connection with a corporate bond investment. At least one current or former customer of his is listed a creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records… Read More »
Harrison Chang: WIS Advisor’s Clients Are GWG Creditors
At least two current or former customers of Western International Securities advisor Harrison Chang (CRD# 4183646) are listed as creditors for investments in GWG L bonds, according to public records filed with a US bankruptcy court. These records describe investments totaling $350,000. Financial Industry Regulatory Authority records show that he is based in Pasadena,… Read More »
Ryan Burnham: Centaurus Advisor Linked to GWG L Bond Sales
At least one current or former customer of Centaurus Financial advisor Ryan Burnham (CRD# 5066139) is listed as a creditor for an investment in GWG L bonds, according to public records. Filed with a US bankruptcy court in Texas, these records describe a total investment of $125,000. Financial Industry Regulatory Authority records show that… Read More »
Robert Barghini: Former Ausdal Advisor Faces GWG Complaint
At least one current or former customer of former Ausdal Financial Partners advisor Robert Barghini (CRD# 3141715) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a US bankruptcy court in Texas, these records describe investments totaling $200,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Did DH Hill Advisor Les Kern Recommend GWG L Bonds?
Kingwood, Texas financial advisor Les Kern (CRD# 1038728) has received multiple investor complaints alleging his conduct resulted in five- or six-figure damages. Public records filed with a US bankruptcy court in Texas, meanwhile, list at least one current or former customer of Mr. Kern as creditor for an investment in GWG L bonds. The… Read More »
