Los Alamitos, California financial advisor Fariba Madison (CRD# 1178259) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Eileen Cure: $200K Complaint Against Ex-HD Vest Advisor
A pending investor complaint against former Nederland and Montgomery, Texas financial advisor Eileen Cure (CRD# 2224269) alleges that her conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that she is not currently registered as a broker or an investment advisor. She was… Read More »
Bill Dobbs: Corporate Bond Complaint Against Swan Financial Advisor
Clinton, Tennessee financial advisor Bill Dobbs (CRD# 1064156) recently received an investor complaint alleging he provided unsuitable investment advice that resulted in losses. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Centaurus Financial, doing business as Swan Financial Services.
Paul Meaney: $60K Oil & Gas Complaint Against Lincoln Advisor
A recent investor complaint against Waltham, Massachusetts financial advisor Paul Meaney (CRD# 1448237) concerns an oil and gas investment. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Lenny Yurovsky: Why Did FINRA Suspend Joseph Stone Advisor?
Mineola financial advisor Lenny Yurovsky (CRD# 4554905) was recently suspended by securities industry regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records indicate that he is a broker with Joseph Stone Capital, having previously been registered with PHX Capital.
Gregory Stevens: Churning Complaint Against Laidlaw Advisor
Investor complaints against Garden City, New York financial advisor Gregory Stevens (CRD# 5787662) allege churning, unsuitable recommendations, and other forms of misconduct. Financial Industry Regulatory Authority records indicate that he is a broker with Spartan Capital Securities, having previously been registered with Joseph Stone Capital and Laidlaw & Company.
Caroline Ehlers: Illinois Investigates Alleged Fraud by Schwab Advisor
A recent regulatory investigation of Lone Tree, Colorado financial advisor Caroline Ehlers (CRD# 7410093) alleges that she engaged in deceitful practices that violated securities law. Records provided by the Financial Industry Regulatory Authority indicate that she is a broker with Charles Schwab & Company.
Ed Kasperavich: $300K GWG L Bond Complaint Against Stonecrest Advisor
Ridgewood, New Jersey financial advisor Ed Kasperavich (CRD# 4970038) allegedly provided poor advice concerning an investment in GWG L bonds, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Stonecrest Capital Markets and an investment advisor with Stonecrest Advisors.
Michael Murray: SEC Investigates NYC Laidlaw Advisor
New York City financial advisor Michael Murray (CRD# 5034449) is under investigation by the Securities and Exchange Commission in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is a broker with Laidlaw & Company.
Integrated Financial Partners’ Cole Smith: $100K Oil & Gas Complaint
Fairfax, Virginia financial advisor Cole Smith (CRD# 5327357) is involved in an investor dispute alleging his advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with LPL Financial and an investment advisor with Integrated Wealth Concepts, doing business as Integrated Financial Partners.
Brent Burgesser: Why Did Brookwood Advisor Resign from Belpointe?
Phoenix financial advisor Brent Burgesser (CRD# 3278147) recently resigned from Belpointe Asset Management in connection with alleged policy violations. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former International Assets Advisory broker is currently an investment advisor with Brookwood Investment Group.
