First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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American Equity’s Donald Rhodes Lands $120K GWG Complaint
An investor complaint alleges that New Albany, Indiana financial advisor Donald Rhodes (CRD# 2813490) recommended an unsuitable investment in GWG Holdings. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with American Equity Investment Corporation.
Bill Horak: GWG Complaint Against Purshe Kaplan Sterling Advisor
Tallahassee financial advisor Bill Horak (CRD# 1462594) allegedly failed to uphold his duties in connection with GWG L bond investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Wealth Management Corporation.
Ex-SunTrust Advisor Angelita Fuentes: GIC Investment Complaints
Recent investor complaints against Miami financial advisor Angelita Fuentes (CRD# 5609340) allege that she recommended unsuitable investments in GIC. Records maintained by the Financial Industry Regulatory Authority show that she is a broker and an investment advisor with Investment Placement Group, having previously been registered with SunTrust Investment Services.
Gonzalo Ruiz: $950K Complaint Against Ocean Financial Advisor
Miami financial advisor Gonzalo Ruiz (CRD# 1889804) 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 he is a broker and an investment advisor with Ocean Financial Services and Ocean Financial Advisors, respectively.
Kestra Advisor Jim Morrison Receives Oil & Gas Complaint
Waco, Texas financial advisor Jim Morrison (CRD# 1254375) is involved in an investor complaint alleging that a private placement investment recommendation resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Kestra Investment Services. He is also the owner and president of Jim Morrison Financial Services.
Nitin Bahirwani: Ex-National Securities Advisor Has $900K Complaint
A recent investor complaint against Miami financial advisor Nitin Bahirwani (CRD# 4748899) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with B. Riley Wealth Management, having previously been registered with National Securities Corporation.
Mark Fennelly: Complaint Against Vanguard Advisor Sought $1 Million
Plano, Texas financial advisor Mark Fennelly (CRD# 4610426) was recently involved in an investor complaint alleging his investment advice resulted in damages exceeding one million dollars. Records maintained by the Financial Industry Regulatory Authority indicated that he is currently a broker and an investment advisor registered with Vanguard Marketing Corporation and Vanguard Advisers, respectively.
Thomas Duggan: Ex-Aegis Advisor Allegedly Committed Elder Abuse
Former Melville, New York financial advisor Thomas Duggan (CRD# 2757615) has received investor complaints alleging unauthorized trading, elder abuse, and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he was most recently registered as a broker with Aegis Capital.
Brandon Leon: $336K Private Placement Complaint Against PHX Advisor
New York City financial advisor Brandon Leon (CRD# 5200595) is involved in an investor complaint alleging unsuitable investment recommendations that resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker with PHX Financial.
Samuel Ingram: Oil & Gas Complaint Against Ex-JW Cole Advisor
A recent investor complaint against former Tempe, Arizona financial advisor Samuel Ingram (CRD# 2622115) alleges six-figure damages connected to an oil and gas investment. Financial Industry Regulatory Authority records show that Mr. Ingram is not currently registered as a broker or an investment advisor, though he was most recently registered with JW Cole Financial…. Read More »
