Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Cape Securities Advisor Wai Procter: Clients Listed as GWG Creditors
At least two current or former clients of former Cape Securities advisor Wai Procter (CRD# 2042244) are listed as creditors for investments in GWG L bonds, according to records filed with a US bankruptcy court. These records disclosed investments totaling $400,000. Financial Industry Regulatory Authority records show that Procter was previously registered in McDonough,… Read More »
Trine Andersen: Did Valic Advisor Recommend GWG?
At least one current or former client of Valic Financial advisor Trine Andersen (CRD# 5206252) is listed as a creditor for an investment in GWG L bonds, according to public records. Filed in a bankruptcy court in Texas, these records describe an investment of $88,000. Financial Industry Regulatory Authority records show that she is… Read More »
Scott Eichler: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Scott Eichler (CRD# 5431034) is listed as creditor for an $99,000 GWG L bond investment, according to records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that Mr. Eichler is based in Newport Beach, California, where he does business… Read More »
Centaurus Advisor Dick Coppin: Client Purchased $150K GWG L Bond
At least one current or former customer of Centaurus Financial advisor Dick Coppin (CRD# 865875) is listed as creditor for a $150,000 GWG L bond investment, according to records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that Mr. Coppin is based in Twain Harte, California.
Richard Greenhill: Did Greenhill Financial Advisor Sell L Bonds?
At least one current or former client of American Equity Investment Corporation financial advisor Richard Greenhill (CRD# 4663372) is listed as creditor for a GWG L bond investment, according to public records. These records, filed with a bankruptcy court in Texas, disclose an investment of more than $115,000. Financial Industry Regulatory Authority records show… Read More »
Tactical Financial’s Reno Reser: Client Listed as GWG Creditor
At least one current or former customer of Littleton, Colorado financial advisor Reno Reser (CRD# 4206571) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records disclosed an investment of $140,000. Financial Industry Regulatory Authority records show that he is… Read More »
Mike Nielson: Did Nielson Wealth Advisor Recommend GWG?
At least one current or former customer of Nielson Wealth Management advisor Mike Nielson (CRD# 4546896) is listed as creditor for an investment in GWG L bonds. Filed with a US bankruptcy court, the records disclose an investment of $80,000. He has also received an investor complaint in connection with a GWG investment. Financial… Read More »
Michael Bernier: WIS Advisor’s Client Invested in GWG L Bond
At least one current or former client of Western International Securities advisor Michael Bernier (CRD# 2250502) is listed as creditor for a GWG L bond investment, according to public records filed with a US bankruptcy court. These records disclose an investment of $200,000. Financial Industry Regulatory Authority records show that he is a broker… Read More »
Tim Brown: $100K-$500K Complaint Against Emerson Equity Advisor
San Mateo financial advisor Tim Brown (CRD# 1663519) recently received an investor complaint alleging six-figure damages in connection with a corporate bond investment. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity, having previously registered with Newbridge Securities.
Avantax Advisor Mark Bushkin: $60K Bond Complaint
Deerfield Beach, Florida financial advisor Mark Bushkin (CRD# 2051696) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services.
