Upper Sandusky, Ohio financial advisor Todd Leightey (CRD# 4409118) was recently fined and suspended in connection with allegedly improper annuity...
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Lora Hoff: Wealth Partners Advisor Landed $150K Complaint
A recent, denied investor complaint against Dallas, Texas financial advisor Lora Hoff (CRD# 3175071) alleges that her advice resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as Wealth Partners Alliance.
Aubrey Parker: $140K Complaint Against Wells Fargo Advisor
Stone Mountain, Georgia financial advisor Aubrey Parker (CRD# 2454088) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Joseph Eisler: FINRA Investigates LPL Advisor
A recent investigation into Blue Bell, Pennsylvania financial advisor Joseph Eisler (CRD# 2503507) concerns allegations of improper sharing in customer profits. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Gladstone Wealth Partners.
Ed Hill: $175K Complaint Against Hill Wealth Advisor
West End, North Carolina financial advisor Ed Hill (CRD# 6008804) recently received an investor complaint alleging that his advice resulted in damages of more than $150,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Hill Wealth Management.
Ian Greenblatt: $150K Complaint Against Capitol Securities Advisor
A recent investor complaint against Melville, New York financial advisor Ian Greenblatt (CRD# 2276966) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Capitol Securities Management and a representative of Waterview Business Partners.
Ken Nahrstedt: FINRA Suspends LM Kohn Advisor
Rocky River, Ohio financial advisor Ken Nahrstedt (CRD# 2096953) allegedly caused his member firm to maintain inaccurate books and records, according to a recent sanction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LM Kohn & Company.
Carlson Law Represents Archie Block Client Against Buckman, Buckman, & Reid
Carlson Law is representing a former client of Archie Block, a Little Silver, New Jersey-based financial advisor licensed with Buckman, Buckman, & Reid, Inc. Our firm currently has a pending arbitration for a customer based in New York. Our claim alleged that Block churned the accounts of our client, a 93-year-old man with declining… Read More »
Carlson Law Represents Joel Minner Client Against Avantax Investment Services
Carlson Law is representing a former client of Joel Minner, a Clarksville, Tennessee-based financial advisor formerly licensed with Avantax Investment Services, Inc. He is now licensed with American Global Wealth Management, Inc. Our firm currently has a pending arbitration for a New York-based customer. The arbitration, which was filed in January of 2025, alleges… Read More »
Carlson Law Represents Francis Schiavetti Client Against Stoever, Glass & Company Inc.
Carlson Law is representing a former client of Francis “Fran” Schiavetti, a Boca Raton-based financial advisor formerly licensed with Stoever, Glass & Company Inc. Schiavetti is a registered representative who was registered with Stoever from approximately October 2018 through December 2023. He is now licensed with A.G.P. / Alliance Global Partners. Our firm currently… Read More »
SEC Charges Against Arete Wealth: Zona Energy Fraud
The Securities and Exchange Commission recently announced charges against Arete Wealth and three of its former personnel: Joey Miller, Jeff Larson, and Randy Larson. The regulator has also filed charges against the firm’s Chief Compliance Officer, UnBo Chung, also known as Bob Chung. The charges allege fraud, registration violations, aiding and abetting record-keeping violations,… Read More »
