Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
Read MoreCategory Archives: Uncategorized
Jason Gopen: JP Morgan Denied Complaint Against Cedarhurst Advisor
A recent investor complaint against Cedarhurst, New York financial advisor Jason Gopen (CRD# 5981937) alleged that his investment advice resulted in damages of more than $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan Securities.
MML Advisor Jarad Plummer Under Investigation: Insurance Sales
Chicago financial advisor Jarad Plummer (CRD# 5782125) is under investigation by state securities regulators in connection with allegations concerning the sale of insurance products. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with MML Investors Services.
Lauren Ivester: 6-Figure Complaints Against Dempsey Lord Smith Advisor
Recent investor complaints against Cramerton, North Carolina financial advisor Lauren Ivester (CRD# 5001776) allege that she recommended unsuitable investments, breached her fiduciary duty, and engaged in other forms of misconduct. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker and an investment advisor with Dempsey Lord Smith.
Anthony Cipolla: $270K Complaint Against Eagle Strategies Advisor
Santa Rosa, California financial advisor Anthony Cipolla (CRD# 4559516) is involved in an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of NYLife Securities, DFPG Investments, Eagle Strategies, and Cipolla Financial.
Jim Shenk: $160K Complaint Against Coastal Equities Advisor
Recent investor complaints against Glen Rock, Pennsylvania financial advisor Jim Shenk (CRD# 2876098) allege that his investment advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Coastal Equities and Coastal Investment Advisors, respectively.
Did Morgan Stanley’s Frank Seminara Misrepresent Investment?
Frank Seminara (CRD# 2785718), a financial advisor based in Palm Beach, recently received an investor complaint alleging he provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, having previously been registered with UBS Financial Services.
Bob Anderson: $956K Complaint Against Anderson Financial Advisor
Hiawassee, Georgia financial advisor Bob Anderson (CRD# 2355813) recently received an investor complaint alleging his conduct resulted in damages of more than $900,000. Records provided by the Financial Industry Regulatory Authority indicate that the Raymond James-affiliated broker is also a representative of Anderson Financial Services.
Thad Bisselle: GWG L Bond Complaint Against Kingswood Advisor
A recent investor complaint against Rockville, Maryland financial advisor Thad Bisselle (CRD# 1199497) concerns an investment in L bonds issued by GWG Holdings, also known as GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.
UBS’s Bert Mueller Receives $1.5 Million Options Overlay Complaint
Houston financial advisor Bert Mueller (CRD# 2647227) is involved in multiple investor complaints alleging that an options overlay strategy resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Buck Wealth’s Jeff Buck: $653K Centerpointe Complaint
Honolulu financial advisor Jeff Buck (CRD# 4884887) is involved in an investor complaint alleging elder abuse and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker registered with Madison Avenue Securities, doing business as E.A. Buck Financial Services, and an investment advisor registered with Buck… Read More »
