Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
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Rockefeller’s Frank Amsler: $500K-$1mm Options Overlay Complaint
Multiple investor complaints against Houston financial advisor Frank Amsler (CRD# 2526813) allege that he made misrepresentations and unsuitable recommendations pertaining to an options overlay strategy. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Rockefeller Financial and Rockefeller Capital Management, respectively.
Nielsen Wealth’s Steven Nielsen Lands Multiple Investor Complaints
Gilbert, Arizona financial advisor Steven Nielsen (CRD# 4184826) is involved in multiple investor complaints alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Nielsen Wealth Management.
Goldman Sachs Advisor Bruce Boyer: $2.3mm Options Complaint
New York City financial advisor Bruce Boyer (CRD# 6202938) allegedly omitted the risk associated with investment strategies he recommended, according to a recent investment complaint. Financial Industry Regulatory Authority records show that he is a broker registered with Goldman Sachs, where he has been employed since 2018.
Dale Timmerman, Moloney Advisor, Receives $100K Investor Complaint
Dale Timmerman (CRD# 2423919), a financial advisor in Vandalia, Illinois, recently received an investor complaint alleging his conduct resulted in damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Moloney Securities, having previously been registered with Hancock Securities Group.
Kelly Gillikin: $475K Complaint Against TD Ameritrade Advisor
Chicago financial advisor Kelly Gillikin (CRD# 6847210) is involved in an investor complaint alleging her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor registered with TD Ameritrade.
John Mateyko: IDEX Advisor Has REIT Complaints
Recent investor complaints against Rolling Meadows, Illinois financial advisor John Mateyko (CRD# 3275621) allege misrepresentation, suitability violations, and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with PeachCap Securities and a managing partner at IDEX Financial Group.
Gabriel Edelman: Ex-Spartan Advisor Named in SEC Crypto Charges
Pending charges against former New York City advisor Gabriel Edelman (CRD# 5778763) allege that he engaged in a fraudulent scheme involving the sale of digital assets. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities, though he is not currently affiliated with any FINRA… Read More »
Richard Stevens: $4.3 Million Complaint Against IBN Financial Advisor
Valley Cottage, New York financial advisor Richard Stevens (CRD# 852090) recently received an investor complaint alleging that his conduct resulted in more than $4 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with IBN Financial Services, and that he is also based out of… Read More »
Scott Brander: Ex-Buckman Advisor Settles SEC Charges
The Securities and Exchange Commission recently sanctioned former Buckman Advisory Group representative Scott Brander (CRD# 2300933) in connection with an allegedly fraudulent scheme. Financial Industry Regulatory Authority records show that Mr. Brander was most recently registered in Little Silver, New Jersey.
Suitability Complaints Against Avi Bialo, Arete Wealth Advisor
Los Angeles financial advisor Avi Bialo (CRD# 6165479) has received two recent investor complaints alleging as much as $450,000 in total damages. Financial Industry Regulatory Authority records show that the broker and investment advisor registered with Arete Wealth Management has denied one of the claims against him.
