San Francisco, California financial advisor Anthony Clifford (CRD# 6285441) recently received an investor complaint alleging that his advice resulted in...
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Jim Shenk: $160K Complaint Against Coastal Equities Advisor
Recent investor complaints against Glen Rock, Pennsylvania financial advisor Jim Shenk (CRD# 2876098) allege that his investment advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Coastal Equities and Coastal Investment Advisors, respectively.
Did Morgan Stanley’s Frank Seminara Misrepresent Investment?
Frank Seminara (CRD# 2785718), a financial advisor based in Palm Beach, recently received an investor complaint alleging he provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, having previously been registered with UBS Financial Services.
Bob Anderson: $956K Complaint Against Anderson Financial Advisor
Hiawassee, Georgia financial advisor Bob Anderson (CRD# 2355813) recently received an investor complaint alleging his conduct resulted in damages of more than $900,000. Records provided by the Financial Industry Regulatory Authority indicate that the Raymond James-affiliated broker is also a representative of Anderson Financial Services.
Thad Bisselle: GWG L Bond Complaint Against Kingswood Advisor
A recent investor complaint against Rockville, Maryland financial advisor Thad Bisselle (CRD# 1199497) concerns an investment in L bonds issued by GWG Holdings, also known as GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.
UBS’s Bert Mueller Receives $1.5 Million Options Overlay Complaint
Houston financial advisor Bert Mueller (CRD# 2647227) is involved in multiple investor complaints alleging that an options overlay strategy resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Buck Wealth’s Jeff Buck: $653K Centerpointe Complaint
Honolulu financial advisor Jeff Buck (CRD# 4884887) is involved in an investor complaint alleging elder abuse and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker registered with Madison Avenue Securities, doing business as E.A. Buck Financial Services, and an investment advisor registered with Buck… Read More »
Western International Securities’ David Karin: $1.2mm Complaint
Westlake Village, California financial advisor David Karin (CRD# 2486154) recently received an investor complaint alleging damages of more than $1 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities.
Adam Wright: Irontree Investment Advisor Receives GWG L Bond Complaint
Mesa, Arizona financial advisor Adam Wright (CRD# 6234854) is involved in an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records indicate that he is a broker with Center Street Securities and an investment advisor with Center Street Advisors, doing business as Irontree Investment Management. He is also registered with… Read More »
David Narish: Did Center Street Advisor Recommend Unsuitable Product?
Frankfort, Illinois financial advisor David Narish (CRD# 3005959) allegedly recommended an unsuitable investment, according to a recent investor complaint filed against him. Financial Industry Regulatory Authority records show that he is a broker with Center Street Securities and an investment advisor with Center Street Advisors.
Paul Lekousis: $146K Investor Complaint Against Pruco Advisor
La Grange Park, Illinois financial advisor Paul Lekousis (CRD 2545673) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Pruco Securities and an investment advisor with Prudential Financial Planning Services. He is also registered with the firm’s office… Read More »
