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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Robert Bragg: Did Newbridge Advisor Recommend GWG?
Public records reveal that at least one current or former client of Newbridge Securities advisor Robert Bragg (CRD# 4767535) is listed as creditor for an investment in GWG L bonds. The records, filed with a US bankruptcy court, describe an investment of $84,000. Financial Industry Regulatory Authority records show that the broker and investment advisor… Read More »
Jamie Nowakowski: Equitable Advisor Faces 6-Figure Complaints
Equitable Advisors representative Jamie Nowakowski (CRD# 4472043) has received multiple investor complaints alleging her conduct resulted in six-figure damages. Public records filed with a US bankruptcy court in Texas show that at least one current or former client of Ms. Nowakowski is listed as creditor for a $75,000 investment in GWG Holdings. Financial Industry… Read More »
Lee Fotsch: Big River Advisor’s Client Bought GWG L Bond
At least one current or former customer of former Centaurus Financial representative Lee Fotsch (CRD# 2003513) is listed as creditor for an investment in a GWG L bond. Filed with a US bankruptcy court, these records describe an investment of $75,000. Financial Industry Regulatory Authority records show that the Fort Collins-based advisor is the… Read More »
Gary Korolev: Did Ex-Spires Advisor Recommend GWG?
At least six current or former customers of Vienna, Virginia financial advisor Gary Korolev (CRD# 1609191) are listed as creditors for investments in GWG Holdings, according to records filed with a US bankruptcy court. These records describe investments totaling more than $500,000. Financial Industry Regulatory Authority records show that Mr. Korolev was formerly registered as… Read More »
Todd Kalish: GWG Complaint Against Park Edge Advisor
Cleveland financial advisor Todd Kalish (CRD# 2865875) recently received an investor complaint alleging he recommended an unsuitable GWG L bond. At least 15 current or former clients of Park Edge Group, an entity described in FINRA records as the LLC Mr. Kalish used to receive funds for his advisory business, are listed as creditors… Read More »
Alliance Global Partners’ Salvatore Renzo: GWG Investments
At least two current or former clients of Alliance Global Partners advisor Salvatore Renzo (CRD# 2518851) 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 reflect investments totaling more than $180,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Bob Kromer: Did RK Retirement Solutions Advisor Recommend GWG L Bonds?
At least one current or former client of RK Retirement Solutions advisor Bob Kromer (CRD# 1448765) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, the records describe an investment of more than $150,000. Securities and Exchange Commission records show that Mr…. Read More »
Hiss Sherman Advisor Bob Hiss: GWG Holdings Complaint
At least five current or former clients of IFP Securities advisor Bob Hiss (CRD# 1599380) are listed as creditors for investments in GWG Holdings, according to public records. Filed with a US bankruptcy court in Texas, these records describe investments of more than $1 million in total. Financial Industry Regulatory Authority records show that Mr…. Read More »
Cornell Asset Management’s Jacob Cornell: Clients Invested in GWG
At least five current or former customers of Centaurus Financial advisor Jacob Cornell (CRD# 6286359) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court, the records describe investments totaling $650,000. Financial Industry Regulatory Authority records show that Mr. Cornell… Read More »
Gisela Lake: KW Securities Advisor Fired by BB Graham & Company
Larkspur, California financial advisor Gisela Lake (CRD# 1121376) was recently fired by BB Graham & Company in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she is currently registered as a broker with KW Securities Corporation.
