A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in...
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Tim Brown: $100K-$500K Complaint Against Emerson Equity Advisor
San Mateo financial advisor Tim Brown (CRD# 1663519) recently received an investor complaint alleging six-figure damages in connection with a corporate bond investment. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity, having previously registered with Newbridge Securities.
Scott Miller: $1.5mm Complaint Against Camelot Wealth Advisor
Boca Raton financial advisor Scott Miller (CRD# 1927089) allegedly provided investment advice that resulted in seven-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, whose website describes him as co-founder of the practice Camelot Wealth Management… Read More »
Avantax Advisor Mark Bushkin: $60K Bond Complaint
Deerfield Beach, Florida financial advisor Mark Bushkin (CRD# 2051696) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services.
Bret Schaefer: Complaint Against Woodbury Advisor Settled for $510K
Recent investor complaints against Antioch, Illinois financial advisor Bret Schaefer (CRD# 2577117) allege unauthorized trading, misrepresentations, and unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker with Landolt Securities, having previously been registered with Woodbury Financial Services.
Stephen Sperling: Wintrust Advisor Faces $50K-$100K Complaint
Palatine, Illinois financial advisor Stephen Sperling (CRD# 3061073) recently received an investor complaint alleging he unsuitably recommended risky non-traded products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wintrust Investments.
Did PHX’s Steros Christoforou Recommend Unsuitable Investment?
An investor complaint against Fort Lauderdale financial advisor Steros Christoforou (CRD# 4407397) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with PHX Financial.
Richard Siminou: Kingswood Advisor Received Investor Complaint
New York City financial advisor Richard Siminou (CRD# 5605796) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors, as well as the owner of Siminou Wealth Management.
James Appel: Centaurus Advisor Faces $150K Complaint
Santa Barbara financial advisor James Appel (CRD# 6445389) recently received an investor complaint alleging he misrepresented a bond investment, leading to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial.
Jim Saar: Ex-Center Street Advisor Faces $150K Complaint
Former Center Street Securities advisor Jim Saar (CRD# 1358375) allegedly recommended an unsuitable investment, according to a recent investor complaint. Additionally, a former customer of his is listed as creditor for an $80,000 L bond investment, according to public records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that he… Read More »
David Yu: IFP Advisor Faces $76K GWG Complaint
At least one current or former customer of IFP Securities advisor David Yu (CRD# 5484970) is listed as creditor for an investment in GWG Holdings preferred stock, according to public records. He has also received an investor complaint in connection with a GWG Holdings investment. Filed with a US bankruptcy court in Texas, these… Read More »
