Hackensack, New Jersey financial advisor Solomon Tobal (CRD# 7643877) recently received an investor complaint alleging that his conduct resulted in...
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Did Fidelity Advisor Sara Scaldini Fail to Follow Instructions?
Boca Raton financial advisor Sara Scaldini (CRD# 4944126) was the subject of a recent investor complaint alleging she failed to follow her client’s instructions, leading to significant losses. As a review of records provided by the Financial Industry Regulatory Authority shows, Ms. Scaldini is a broker with Fidelity Brokerage Services and an investment advisor… Read More »
Elder Abuse Complaint Against Former UBS Advisor Kevin Cook
An investor complaint against Morgan Stanley financial advisor Kevin Cook (CRD# 3159487) alleges that he committed elder abuse. Records provided by the Financial Industry Regulatory Authority show that Mr. Cook is a broker and an investment advisor based in Lafayette, Louisiana, and that he recently joined the firm from UBS Financial Services.
WestStar Advisor Erik Alexander Receives REIT Complaint
A recent investor complaint against Bellevue, Washington financial advisor Erik Alexander (CRD# 5839269) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisor Networks, doing business as WestStar Partners.
GWG Investor Files Complaint Against Finance CAPE’s Travis Jennings
Former Dempsey Lord Smith representative Travis Jennings (CRD# 5753812) recently received an investor complaint alleging he engaged in misconduct relating to the sale of GWG L bonds. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Tampa-based broker is currently registered as an investment advisor with Encompass Financial Group,… Read More »
Jeff Paladini: $75K Complaint Against BD4RIA/Cerity Partners Advisor
Fort Worth financial advisor Jeff Paladini (CRD# 4341198) allegedly recommended unsuitable investments, according to complaints against him. Financial Industry Regulatory Authority records show that he is a broker with BD4RIA and an investment advisor with Cerity Partners. He was formerly registered with Triad Advisors.
Henrico Advisor Michael Thaler: BDC Complaint
A recent investor complaint against Cambridge Investment Research financial advisor Michael Thaler (CRD# 2557899) concerns investments in a business development corporation and an oil and gas product. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Henrico, Virginia.
Suitability Complaint Against Greenville Advisor Greg Gibson
Greg Gibson (CRD# 1694647), a financial advisor with Dempsey Lord Smith, recently received an investor complaint alleging his advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Greenville, South Carolina.
J. Benjamin Financial’s Robert Wilson: GWG Complaint
Former New Albany, Indiana broker Robert Wilson (CRD# 2364716) is the recipient of an investor complaint alleging he recommended an investment in GWG Holdings, which later filed for bankruptcy. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with J. Benjamin Financial in… Read More »
GWG Complaint Against Highland Financial’s Joseph Jackson
Fayetteville, North Carolina financial advisor Joseph Jackson (CRD# 2351290) recently received an investor complaint alleging six-figure damages stemming from an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Capital Investment Group, doing business as Highland Financial Management and Cape Fear Securities.
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.
