Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Joel Farnsworth: $4.2 Million Bond Complaint Against Wedbush Advisor
Los Angeles financial advisor Joel Farnsworth (CRD# 1980052) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wedbush Securities, and that he is also registered with the firm’s office in Tyler, Texas.
Randy Barkhurst: Pruco Advisor Faces $500K Complaint
Tualatin, Oregon financial advisor Randy Barkhurst (CRD# 2104888) recently received an investor complaint that alleges his conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Pruco Securities and an investment advisor with Prudential Financial Planning Services.
Nir Regev: Complaint Against DFPG Advisor Settles for $287K
A recent investor complaint against St. Louis financial advisor Nir Regev (CRD# 1847410) reached a settlement of more than $250,000. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with DFPG Investments, having previously been registered with VSR Financial Services.
Peter Clarke: Rockefeller Advisor Faces $6.3 Million Complaint
Palm Beach Gardens, Florida financial advisor Peter Clarke (CRD# 1400419) recently received an investor complaint alleging his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Truist Investment Services.
Drew Peters: Aegis Advisor’s Clients Listed as GWG Creditors
Publicly available records indicate that at least three current and/or former clients of Aegis Capital advisor Drew Peters (CRD# 5348622) are listed as creditors for investments in GWG Holdings preferred stock. The records, filed with a US bankruptcy court in Texas, describe investments totaling at least $327,000. Records maintained by the Financial Industry Regulatory Authority show that Mr…. Read More »
Adam Donlevie: Tremblay Financial Advisor Denies Bond Complaint
A recent investor complaint against Santa Barbara financial advisor Adam Donlevie (CRD# 5369320) alleges that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Tremblay Financial Services.
Timothy Sweeney: Tremblay Financial Advisor Faces Bond Complaint
Santa Barbara financial advisor Timothy Sweeney (CRD# 2669172) recently received an investor complaint alleging he recommended unsuitably risky bond investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Tremblay Financial Services.
Centaurus Advisor Jeff Scott Receives Investor Complaint
A recent investor complaint against Brigham City, Utah financial advisor Jeff Scott (CRD# 2277984) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, having previously been registered with Cetera Advisors.
Manuel Ramos: $100K Complaint Against Centaurus Advisor
Downey, California financial advisor Manuel Ramos (CRD# 1956224) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Ramos Consulting and Wealth Management.
Edward Barfield: $292K Allegations Against Veritas Advisor
Kirkwood, Missouri financial advisor Edward Barfield (CRD# 4257082) allegedly recommended an unsuitable insurance product, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Geneos Wealth Management, doing business as Veritas Advisors.
