Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
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Jimmy Tammaro: TGP Securities Advisor Faces $940K Complaint
A recent investor complaint against Summit financial advisor Jimmy Tammaro (CRD# 1174412) alleges fraud resulting in damages of more than $900,000. Financial Industry Regulatory Authority records show that he is a broker with TGP Securities.
Debbie Birch: $200K Complaint Against Roaring Fork Advisor
Glenwood Springs, Colorado financial advisor Debbie Birch (CRD# 4043371) allegedly provided investment advice that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Cambridge Investment Research, as well as a representative of Roaring Fork Financial Services.
Stefan Shimshidian: Cabot Lodge Advisor Faces $235K GWG Complaint
A recent investor complaint against Cabot Lodge Securities advisor Stefan Shimshidian (CRD# 3043669) alleges six-figure damages in connection with a GWG L bond investment. Public records filed with a US bankruptcy court in Texas disclose that one of his current or former clients is listed as a creditor for an $85,000 investment in a… Read More »
Centaurus Advisor Alexis Reynoso: $200K GWG L Bond Investments
At least two current or former customers of Centaurus Financial advisor Alexis Reynoso (CRD# 6393158) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court. These records disclose investments totaling $200,000. Financial Industry Regulatory Authority records show that Ms. Reynoso is based… Read More »
IFP’s Aaron Cruz: Customer Invested $150K in GWG
At least one current or former client of IFP Securities advisor Aaron Cruz (CRD# 1961596) is listed as a creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records describe a $150,000 investment. Financial Industry Regulatory Authority records show that Mr. Cruz is… Read More »
Kevin Nichols: IAA Advisor’s Customer Listed as GWG Creditor
At least one current or former customer of International Assets Advisory advisor Kevin Nichols (CRD# 1961596) is listed as a creditor for an investment in GWG L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court, these records disclose an investment of more than $284,000. Financial Industry Regulatory Authority… Read More »
Richard Schwartz: Did Ex-National Securities Advisor Sell GWG L Bonds?
At least 11 current or former customers of former National Securities advisor Richard Schwartz (CRD# 2037308) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court in Texas. The records describe investments totaling more than $1.5 million. Financial Industry Regulatory Authority records… Read More »
Centaurus Advisor Steven Lazette: Client Bought GWG L Bond
At least one current or former client of Centaurus Financial advisor Steven Lazette (CRD# 5878255) is listed as a creditor for an investment in an L Bond issued by GWG Holdings, according to public records. These records, filed with a US bankruptcy court, describe an investment of $120,000. Financial Industry Regulatory Authority records show… Read More »
RF Lafferty’s Abraham Heller: Client Invested $350K in GWG
At least one current or former client of RF Lafferty & Company advisor Abraham Heller (CRD# 1636080) is listed as a creditor for investments in GWG Holdings L bonds and/or preferred stock. Filed with a US bankruptcy court, the records disclose investments of $350,000. Financial Industry Regulatory Authority records show that Mr. Heller is… Read More »
Steven Standley: $190K GWG Complaint Against DH Hill Advisor
A recent investor complaint against DH Hill Securities financial advisory Steven Standley (CRD# 4282051) alleges fraud connected to a GWG L bond investment. Public records filed with a US bankruptcy court in Texas show that at least one current or former client of Mr. Standley is listed as a creditor for an approximately $85,000… Read More »
