Green Bay, Wisconsin financial advisor Brandon Larsen (CRD# 6192239) was recently sanctioned and suspended in connection with alleged rule violations....
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Greg Foster: $300K Complaint Against UBS Financial Advisor
Wayzata, Minnesota financial advisor Greg Foster (CRD# 1532735) recently received an investor complaint alleging his conduct resulted in six-figure losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with UBS Financial Services.
Greg Sain: Stifel Nicolaus Denies Suitability Complaint
Recent, denied investor complaints against Beverly Hills financial advisor Greg Sain (CRD# 1629842) alleged that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Morgan Stanley, having previously been registered with Stifel Nicolaus & Company.
Jim Margraf: $100K Complaint Against Center Street Advisor
Springfield, Missouri financial advisor Jim Margraf (CRD# 6517554) recently received an investor complaint alleging his advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is currently a broker with Center Street Securities and an investment advisor with LaTour Asset Management.
Tim Sherer: Complaint Against Sherer Group Advisor Seeks $448K
Los Gatos financial Tim Sherer (CRD# 833618) recently received an investor complaint alleging elder abuse and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is registered as a broker and an investment advisor with Emerson Equity, doing business as The Sherer Group.
Andrew Goldwater: Stifel Denies $178K Concentration Complaint
A recent, denied investor complaint against Conshohocken financial advisor Andrew Goldwater (CRD# 866798) alleged that he unsuitably recommended speculative investments. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor registered with Stifel Nicolaus & Company.
Artie Grossman: $101K Complaint Against Ameriprise Advisor
Jupiter, Florida financial advisor Artie Grossman (CRD# 1020971) has been involved in multiple investor complaints alleging his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Royal Alliance Associates.
Dave Stamper: Suitability Complaint Against Stamper Wealth Advisor
Cary, North Carolina financial advisor Dave Stamper (CRD# 2301862) recently received an investor complaint alleging he recommended unsuitable products. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Cetera Advisor Networks, doing business as Stamper Wealth Management.
Steven Katzenstein: $75K Complaint Against HPG Wealthcare Advisor
Raleigh financial advisor Steven Katzenstein (CRD# 2380645) is involved in an investor complaint alleging he recommended an unsuitable investment to one of his customers. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Avantax Investment Services, as well as a representative of HPG Wealthcare… Read More »
Ferguson Financial’s Rodney Ferguson: Complaints Allege $530K Losses
Recent investor complaints against Chesterfield, Missouri financial advisor Rodney Ferguson (CRD# 2482868) allege that his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Ferguson Financial Group.
PHX Advisor Mark Hermes: Churning Complaint Denied by Firm
Fort Lauderdale financial advisor Mark Hermes (CRD# 4200965) recently received a denied investor complaint alleging that his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with PHX Financial, having previously been registered with Joseph Gunnar & Company.
