Harrisburg, Pennsylvania financial advisor Tony Tolene (CRD# 5730068) recently received an investor complaint alleging that his conduct resulted in six-figure...
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Elder Exploitation Claim Against Retirement Designers’ Dale McCarty
Plano, Texas financial advisor Dale McCarty (CRD# 5676607) allegedly engaged in financial elder exploitation, according to a denied investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Brokers International Financial Services and an investment advisor with Brokers Financial, doing business as Retirement Designers Financial Group.
Becky Henson, Ex-Intervest Advisor, Receives GWG L Bond Complaint
Bradenton, Florida financial advisor Becky Henson (CRD# 4383083) recently received an investor complaint alleging misrepresentation and other forms of misconduct. Financial Industry Regulatory Authority records show that she is a broker registered with Cetera Investment Services. She is also known as Becky Urquhart.
Mitchell Riesenberger: Options Overlay Complaint Against UBS Advisor
An options overlay complaint is the subject of a recent investor complaint against Mitchell Riesenberger (CRD# 2990475), an advisor at UBS Financial Services. Records show that he is a broker and an investment advisor based in Boston and Wellesley, Massachusetts, and a former representative of Credit Suisse Securities.
Mark Elias: Houston Advisor Lands Option Overlay Complaints
Several recent investor complaints allege that UBS Financial Services advisor Mark Elias (CRD# 2938707) misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Houston, Texas.
Don Harrell: Suitability Complaint Against Morgan Stanley Advisor
Laguna Niguel financial advisor Don Harrell (CRD# 2222409) allegedly made unsuitable recommendations, according to a recent investor complaint against him. Records maintained by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Morgan Stanley. His past registrations include Merrill Lynch and Banc of America Investment Services.
Stephen Bush, Weddington Advisor, Has Northstar Healthcare Complaint
A new investor complaint against Capital Investment Group advisor Stephen Bush (CRD# 1898917) alleges his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the broker and investment advisor is currently registered with Capital Investment Group and Capital Investment Advisory Services, respectively.
Mappa Wealth Advisor Mark Mappa: Oil & Gas Complaints
Two recent investor complaints detail allegedly unsuitable investment recommendations involving Mark Mappa (CRD# 1874503), a broker and an investment advisor based in Northbrook, Illinois. Financial Industry Regulatory Authority records show that he is a representative of Woodbury Financial Services, having formerly been registered with Kestra. He is the president of Mappa Wealth Management.
Donavan Hilsabeck: CD Complaint Against Las Vegas Advisor
The performance of a structured certificate of deposit is at issue in a recent complaint against Las Vegas broker Donavan Hilsabeck (CRD# 1503039). Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Richard Reames: Robert W. Baird Denies Churning Complaint
Richard Reames (CRD# 712401), a financial advisor based in Ashland, Kentucky, recently received an investor complaint alleging his conduct led to damages exceeding $200,000. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Robert W. Baird & Company.
Investor Files Complaint Against Karen March, Coastal Equities Advisor
A recent investor complaint against Roswell, Georgia financial advisor Karen March (CRD# 4021533) alleges she provided misleading information about the investments she recommended. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Coastal Equities.
