Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Bret Schaefer: Complaint Against Woodbury Advisor Settled for $510K
Recent investor complaints against Antioch, Illinois financial advisor Bret Schaefer (CRD# 2577117) allege unauthorized trading, misrepresentations, and unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker with Landolt Securities, having previously been registered with Woodbury Financial Services.
Stephen Sperling: Wintrust Advisor Faces $50K-$100K Complaint
Palatine, Illinois financial advisor Stephen Sperling (CRD# 3061073) recently received an investor complaint alleging he unsuitably recommended risky non-traded products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wintrust Investments.
Did PHX’s Steros Christoforou Recommend Unsuitable Investment?
An investor complaint against Fort Lauderdale financial advisor Steros Christoforou (CRD# 4407397) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with PHX Financial.
Richard Siminou: Kingswood Advisor Received Investor Complaint
New York City financial advisor Richard Siminou (CRD# 5605796) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors, as well as the owner of Siminou Wealth Management.
James Appel: Centaurus Advisor Faces $150K Complaint
Santa Barbara financial advisor James Appel (CRD# 6445389) recently received an investor complaint alleging he misrepresented a bond investment, leading to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial.
David Yu: IFP Advisor Faces $76K GWG Complaint
At least one current or former customer of IFP Securities advisor David Yu (CRD# 5484970) is listed as creditor for an investment in GWG Holdings preferred stock, according to public records. He has also received an investor complaint in connection with a GWG Holdings investment. Filed with a US bankruptcy court in Texas, these… Read More »
Ivan Gefen: $1mm Complaint Against Newbridge Advisor
Boca Raton financial advisor Ivan Gefen (CRD# 1229418) allegedly engaged in conduct that resulted in damages of more than $1 million, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities and Newbridge Financial Services Group, respectively.
Rush Hodgin: $350K Complaint Against Hodgin Chapman Advisor
Pittsburgh financial advisor Rush Hodgin (CRD# 2169424) recently received an investor complaint alleging his conduct resulted in more than $350,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, where he is a member of the practice Hodgin, Chapman & Associates.
Theresa Allen: $300K Complaint Against Ex-First Republic Advisor
A recent investor complaint against Newport Beach financial advisor Theresa Allen (CRD# 2183693) alleges six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with RBC Capital Markets, having previously been registered with First Republic Securities Company.
Curtis Sathre III: Did JRL Capital Advisor Sell GWG Stock?
At least one current or former customer of JRL Capital advisor Curtis Sathre III (CRD# 2459115) is listed as creditor for an investment in GWG Holdings preferred stock, according to public records filed with a US bankruptcy court. These records describe an investment of $100,583. Financial Industry Regulatory Authority records show that the Irvine,… Read More »
