Former Houston, Texas financial advisor Bob Thompson (CRD# 713539) was recently sanctioned and barred in connection with alleged rule violations....
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Mike DePaul: Newport Wealth Advisor Receives 6-Figure Complaint
Newport Beach financial advisor Mike DePaul (CRD# 4540570) recently received an investor complaint alleging that his advice led to six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Centaurus Financial and an investment advisor with Newport Wealth Advisors.
Stevan Hoffman: Oil & Gas Complaint Against Cambridge Advisor
Danville, California financial advisor Stevan Hoffman (CRD# 4552883) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Cambridge Investment Research.
Mark Bloom: Legacy Capital Advisor Faces $100K Complaint
A recent investor complaint against Atlanta, Georgia financial advisor Mark Bloom (CRD# 6933619) alleges that his conduct led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services, doing business as Legacy Capital Advisors.
Jason Mitsuda: $499K Complaint Against Former Equitable Advisor
Honolulu financial advisor Jason Mitsuda (CRD# 6718373) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Pruco Securities and an investment advisor with Prudential Securities, having previously been registered with Ameriprise Financial Services and Equitable Advisors.
Bob Rebussini: Integrated Financial Advisor Faces $150K Complaint
Cranston, Rhode Island financial advisor Bob Rebussini (CRD# 1622141) has received multiple investor complaints alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Integrated Wealth Concepts, doing business as Integrated Financial Partners.
iCap Equity Described as “Ponzi Scheme”
There is “overwhelming evidence” that iCap Equity was operating a Ponzi-scheme, according to Paladin Management Group, the firm appointed by a bankruptcy court to oversee iCap’s operations. As Bisnow reported in February, Paladin alleged that the funds iCap raised from investors “were almost 10 times greater than revenues from real estate activities,” a potential… Read More »
Peter Robertson: $2.9mm Complaint Against Peak Financial Advisor
Irvine, California financial advisor Peter Robertson (CRD# 1695345) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation. He is also a representative of Peak Financial.
John Hibshman: $100K Complaint Against Waypoint Advisor
Recent investor complaints against Orange Village, Ohio financial advisor John Hibshman (CRD# 2193302) concern investments in oil and gas products. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Michael Norton: David Lerner Advisor Faces $500K SOAEX Complaint
Syosset, New York financial advisor Michael Norton (CRD# 2617985) recently received an investor complaint concerning an investment in SOAEX. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates and an investment advisor with Spirit of America Management Corporation.
Brian Hinson: $200K Complaint Against Savant Wealth Advisor
Huntsville, Alabama financial advisor Brian Hinson (CRD# 2783737) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Savant Wealth Management.
