Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
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Cape Girardeau Advisor Rick Bandermann: New Investor Complaint
Merrill Lynch financial advisor Rick Bandermann (CRD# 1613847) allegedly provided misleading investment advice that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Cape Girardeau, Missouri.
LaraDorbecker Advisor Cindy Hanerhoff Receives Investor Complaint
Cindy Hanerhoff (CRD# 1084549), a financial advisor based in Houston, Texas, is involved in a customer dispute alleging unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is a broker with Sunbelt Securities, doing business as LaraDorbecker Securities Corporation.
Naples Advisor Stephen Spahr: Investor Files New Complaint
Janney Montgomery Scott financial advisor Stephen Spahr (CRD# 865189) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Naples, Florida.
Beaumont UBS Advisor Mike Persia: New Investor Complaint
UBS Financial Services advisor Mike Persia (CRD# 712234) is the recipient of an investor complaint alleging $900,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Beaumont, Texas.
Suitability Complaint Against Denver Advisor William Duffy
Lone Tree, Colorado financial advisor William Duffy (CRD# 6726333) is the recipient of multiple investor complaints alleging he provided unsuitable advice. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Innovation Partners, Sharenett Securities, and Direct Source Wealth Advisory, and that he does business as WD… Read More »
Investor Files Complaint Against Kestra Advisor Ben Belanger
A recent investor complaint against Kestra Investment Services financial advisor Ben Belanger (CRD# 5293459) alleges that his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Austin, Texas.
Newport Wealth Advisor Surya Metzler Denies Investor Complaint
Newport Beach, California financial advisor Surya Metzler (CRD# 4558292) allegedly recommended an unsuitably risky investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Centaurus Financial and an investment advisor with Newport Wealth Advisors.
Investor Files Complaint Against Western International’s Helen Lin
Rolling Hills Estates, California financial advisor Helen Lin (CRD# 4556198) recently received an investor complaint alleging her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Western International Securities, having previously been registered with Financial West Group.
GWG Complaint Against Arque Capital’s Christy Earhart
Scottsdale, Arizona financial advisor Christy Earhart (CRD# 3236699) recently received an investor complaint alleging misconduct relating to an investment in GWG Holdings. Financial Industry Regulatory Authority records show that she is a broker registered with Arque Capital and the owner of Dave Smith Financial.
Richard Blosser: FINRA Bars Pathfinder Advisor
Former Wedbush Securities financial advisor Richard Blosser (CRD# 1676712) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. FINRA and Securities and Exchange Commission records show that the Los Angeles-based representative is still registered as an investment advisor with Axxcess Wealth Management and Pathfinder Wealth Advisors.
