Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
Read MoreCategory Archives: Uncategorized
Joe Hurley: Gateway NW Advisor Faces Investor Complaint
A recent investor complaint against Battle Ground, Washington financial advisor Joe Hurley (CRD# 4499819) alleges that he deprived an investor of the ability to generate reasonable returns. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Gateway NW Wealth Advisors.
Nathan Wells: Real Estate Complaint Against Wells Financial Advisor
Morrison, Illinois financial advisor Nathan Wells (CRD# 5553359) allegedly provided unsuitable advice that resulted in six-figure damages, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Cetera Advisor Networks, doing business as Wells Financial Services.
Matt Gaspar: Why Did Prospera Advisor Resign from Merrill Lynch?
Paradise Valley, Arizona financial advisor Matt Gaspar (CRD# 5772487) recently resigned from Merrill Lynch in connection with allegations of misconduct. Financial Industry Regulatory Authority records show that he recently registered as a broker and an investment advisor with Prospera Financial Services.
Andrew Feyerabend: Bond Complaint Against Moloney Securities Advisor
Greenville, South Carolina financial advisor Andrew Feyerabend (CRD# 5915487) recently received an investor alleging misconduct related to a corporate bond investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Investment Center.
Mark Fenlon: CliftonLarsonAllen Advisor Lands Fraud Complaint
A recent civil complaint against Minneapolis financial advisor Mark Fenlon (CRD# 1466512) alleges fraud and misrepresentation relating to a direct investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with CliftonLarsonAllen Wealth Advisors.
William Beasley: Negligence Complaint Against BHK Advisor
Birmingham financial advisor William Beasley (CRD# 1750089) recently received an investor complaint alleging he mismanaged a customer’s account. Financial Industry Regulatory Authority records show that the BHK Securities broker and investment advisor was recently sanctioned by FINRA in connection to allegations of negligence.
CIG Advisors Jeffrey Segal & Seth Renaud: Franklin Square Complaint
Recent investor complaints against Glastonbury, Connecticut financial advisors Jeffrey Segal (CRD# 1886939) and Seth Renaud (CRD# 4946831) alleged that they recommended unsuitable investments in a Franklin Square business development company and various real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that both are registered as a broker and an investment advisor… Read More »
Lincoln Financial Advisor Andrew Horowitz: Atlas Growth Complaint
Hunt Valley, Maryland financial advisor Andrew Horowitz (CRD# 2917830) allegedly recommended an unsuitable investment in Atlas Growth Partners, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Stacy Spearman: ETF Complaint Against Renasant Financial Advisor
An investor complaint against Tupelo, Mississippi financial advisor Stacy Spearman (CRD# 3158108) alleges misconduct relating to an exchange-traded fund investment. Records provided by the Financial Industry Regulatory Authority show that she is a broker and an investment advisor with LPL Financial, doing business as Renasant Financial Services.
Frank Chiodi Jr.: Did Precision Advisor Misrepresent REIT?
Scarsdale financial advisor Frank Chiodi Jr. (CRD# 3189448) recently received an investor complaint alleging his advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Royal Alliance Associates, doing business as Precision Wealth Solutions.
