Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Dave Stone: Stifel Advisor Faces 7-Figure Complaint
New York City financial advisor Dave Stone (CRD# 4219856) recently received an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Stifel Nicolaus & Company.
Craig Gould: Cabot Lodge Advisor Faces $300K REIT Complaint
Schaumburg, Illinois financial advisor Craig Gould (CRD# 2367293) recently received an investor complaint alleging that an REIT investment led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with World Equity Group and Cabot Lodge Securities.
Gino Rahman: Merrill Lynch Fires Michigan Advisor
Troy, Michigan financial advisor Gino Rahman (CRD# 2476187) was recently fired from Merrill Lynch in connection with allegations, among others, of improper outside business activities. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with LM Kohn & Company.
Peter Lawrence: American Portfolios Advisor Faces 6-Figure Complaint
Hauppauge, New York financial advisor Peter Lawrence (CRD# 2695687) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with American Portfolios Financial Services and American Portfolios Advisors, respectively.
Kyung Song: MML Advisor Receives $82K Fraud Complaint
East Hills, New York financial advisor Kyung Song (CRD# 2760764) recently received an investor complaint alleging fraud. Financial Industry Regulatory Authority records show that they are a broker and an investment advisor with MML Investors Services, having previously been registered with MSI Financial Services.
Samuel Julian: GWG Complaint Against Ausdal Advisor
Carmel, Indiana financial advisor Samuel Julian (CRD# 4488869) recently received an investor complaint relating to an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Ausdal Financial Partners.
Joanne Farace: David Lerner Advisor Faces $100K Energy Fund Complaint
A recent investor complaint against Lawrenceville, New Jersey financial advisor Joanne Farace (CRD# 4837013) alleges that she provided unsuitable investment advice that resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker registered with David Lerner Associates.
Ian Geeves: $400K Complaint Against Ex-LPL Advisor
Carlsbad, California financial advisor Ian Geeves (CRD# 5328479) recently received an investor complaint alleging he misappropriated funds. Financial Industry Regulatory Authority records show that he is a broker registered with Vanderbilt Securities and an investment advisor registered with Vanderbilt Advisory Services.
Todd McBride: Options Complaint Against Morgan Stanley Advisor
Huntsville, Alabama financial advisor Todd McBride (CRD# 5743641) recently received an investor complaint relating to a covered call options strategy. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, whose website describes him as a member of the Monte Sano Group.
Bob Lorente: $250K REIT Complaint Against Aurora Advisor
A recent investor complaint against Troy, Michigan financial advisor Bob Lorente (CRD# 1425180) alleges that he recommended unsuitable real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that he is registered as a broker with Aurora Securities and an investment advisor with Secure Asset Management.
