Close Menu
Free Consultation: 888-976-6111

Category Archives: Uncategorized

Scott Trease: Sapere Wealth Advisor Settles SEC Fraud Charges

By Chase Carlson |

The Securities and Exchange Commission recently announced settled charges against Matthews, North Carolina financial advisor Scott Trease (CRD# 1298222) and his advisory firm Sapere Wealth Management. Records maintained by the Securities and Exchange Commission show that the charges stem from an investigation launched in April 2022.

Facebook Twitter LinkedIn

Armin Hinkelman: Thrivent Advisor Resigns After Investigation

By Chase Carlson |

Watertown, South Dakota financial advisor Armin Hinkelman (CRD# 1583833) recently resigned from his position at Thrivent Investment Management in connection with alleged rule violations. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is currently registered as an investment advisor with Vantage Financial Partners.

Facebook Twitter LinkedIn

Ex-SW Financial Advisor Donald Johns Faces $938K Complaint

By Chase Carlson |

A new investor complaint filed against Melville, New York financial advisor Donald Johns (CRD# 4566047) alleges unauthorized trading and other rule violations that resulted in damages exceeding $900,000. Financial Industry Regulatory Authority records show that he is a broker registered with SW Financial, having previously been registered with Arive Capital Markets.

Facebook Twitter LinkedIn

C. Raymond Weldon: $500K Claim Against Weldon & Co. Advisor

By Chase Carlson |

Boca Raton financial advisor C. Raymond Weldon (CRD# 1030659) recently received an investor complaint alleging his advice resulted in damages of $500,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Independent Financial Group, doing business as Weldon & Company.

Facebook Twitter LinkedIn

Carlson Law Files Claim Against Luong Pham & Cetera Advisors

By Chase Carlson |

Calrson Law has filed a FINRA arbitration claim on behalf of Springboro, Ohio financial advisor Luong Pham (CRD# 2830422). Records maintained by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Cetera Advisors broker is currently an investment advisor with Axim Planning & Wealth. The recently filed claim,… Read More »

Facebook Twitter LinkedIn

Eric Baron: $156 Complaint Against Former SW Advisor

By Chase Carlson |

Hauppage, New York financial advisor Eric Baron (CRD# 2758724) recently received an investor complaint alleging he engaged in unauthorized trading and other forms of misconduct, leading to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker Network 1 Financial Securities, having previously been registered with Spartan Capital Securities and SW… Read More »

Facebook Twitter LinkedIn

Mick Shonsey: Concentration Complaint Against Ex-Cetera Advisor

By Chase Carlson |

An investor complaint recently filed against Omaha financial advisor Mick Shonsey (CRD# 422524) alleges that he engaged in violations of securities industry rules and standards, resulting in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Brokers International Financial Services and as an investment advisor with Brokers… Read More »

Facebook Twitter LinkedIn

Dave Smith: Intervest Advisor Faces $213K GWG Claim

By Chase Carlson |

Colorado Springs financial advisor Dave Smith (CRD# 850797) is involved in an investor complaint alleging he recommended unsuitable GWG L bonds and violated state and federal securities laws. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Intervest International Equities Corporation.

Facebook Twitter LinkedIn

David Wells: $215K Bond Complaint Against BB Graham Advisor

By Chase Carlson |

Orange, California financial advisor David Wells (CRD# 1006555) has received multiple investor complaints alleging he violated securities industry rules, resulting in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker with BB Graham & Company, having previously been registered with Kingswood Capital Partners and Accelerate… Read More »

Facebook Twitter LinkedIn

Carlson Law Investigates Duane Pellman of Excel Wealth Management

By Chase Carlson |

The attorneys at Carlson Law represent eleven former clients of Duane Pellman (CRD# 2426979) and Excel Wealth Management. Carlson Law has filed an arbitration for those customers seeking to recover money lost in extraordinarily risky trading. In most, if not all of the cases, Pellman engaged in highly risky trading that caused devastating losses… Read More »

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Brandon Larsen: FINRA Suspends Fired Thrivent Advisor

    Green Bay, Wisconsin financial advisor Brandon Larsen (CRD# 6192239) was recently sanctioned and suspended in connection with alleged rule violations....

    Read More
  • Mack Miller: FINRA Suspends Spartan Advisor

    New York City financial advisor Mack Miller (CRD# 2822317) was recently sanctioned and suspended in connection with alleged excessive and...

    Read More
  • Report: Easterly ROCMuni Described as “Junk Bond”

    Investment firms Osaic Wealth and Stifel Nicolaus & Company may have improperly recommended investments in the Easterly ROCMuni High Income...

    Read More
  • James Gahagan: LPL Advisor Faced $206K Complaint

    A recent, closed investor complaint against Santa Cruz, California financial advisor James Gahagan (CRD# 2771502) alleged that an investment recommendation...

    Read More
  • Previous
  • Next