Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Equity Services Advisor Keith Baron Has Misappropriation Complaint
A recent investor complaint alleges that former Jericho, New York financial advisor Keith Baron (CRD# 3231494) solicited investments in order to misappropriate funds. Records provided by the Financial Industry Regulatory Authority indicate that Mr. Baron was most recently registered as a broker with Equity Services, though he is not currently registered with any state… Read More »
American Equity’s Shane Elsbury: GWG Complaint Seeks $150K
Investor complaints against New Albany, Indiana financial advisor Shane Elsbury (CRD# 5661717) allege the unsuitable sale of investments in GWG L bonds. Financial Industry Regulatory Authority records indicate that he is a broker with American Equity Investment Corporation.
Staci Compagno: Ex-Allegis Advisor Involved in $2mm Complaint
A new investor complaint alleges that Provo financial advisor Staci Compagno (CRD# 2824392) engaged in conduct that resulted in seven-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Allegis Investment Services representative is currently registered as an investment advisor with Townsquare Capital.
Gary Benson: GWG L Bond Complaint Against Pash & Benson Advisor
Encino financial advisor Gary Benson (CRD# 1182211) allegedly recommended an unsuitable GWG L bond, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Independent Financial Group, doing business as Pash & Benson.
Eileen Cure: $200K Complaint Against Ex-HD Vest Advisor
A pending investor complaint against former Nederland and Montgomery, Texas financial advisor Eileen Cure (CRD# 2224269) alleges that her conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that she is not currently registered as a broker or an investment advisor. She was… Read More »
Bill Dobbs: Corporate Bond Complaint Against Swan Financial Advisor
Clinton, Tennessee financial advisor Bill Dobbs (CRD# 1064156) recently received an investor complaint alleging he provided unsuitable investment advice that resulted in losses. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Centaurus Financial, doing business as Swan Financial Services.
Paul Meaney: $60K Oil & Gas Complaint Against Lincoln Advisor
A recent investor complaint against Waltham, Massachusetts financial advisor Paul Meaney (CRD# 1448237) concerns an oil and gas investment. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Lenny Yurovsky: Why Did FINRA Suspend Joseph Stone Advisor?
Mineola financial advisor Lenny Yurovsky (CRD# 4554905) was recently suspended by securities industry regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records indicate that he is a broker with Joseph Stone Capital, having previously been registered with PHX Capital.
Gregory Stevens: Churning Complaint Against Laidlaw Advisor
Investor complaints against Garden City, New York financial advisor Gregory Stevens (CRD# 5787662) allege churning, unsuitable recommendations, and other forms of misconduct. Financial Industry Regulatory Authority records indicate that he is a broker with Spartan Capital Securities, having previously been registered with Joseph Stone Capital and Laidlaw & Company.
Caroline Ehlers: Illinois Investigates Alleged Fraud by Schwab Advisor
A recent regulatory investigation of Lone Tree, Colorado financial advisor Caroline Ehlers (CRD# 7410093) alleges that she engaged in deceitful practices that violated securities law. Records provided by the Financial Industry Regulatory Authority indicate that she is a broker with Charles Schwab & Company.
