Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Chris Weismiller: Did Directional Wealth Advisor Sell GWG L Bonds?
At least two current or former customers of IFP Securities financial advisor Chris Weismiller (CRD# 5360051) are listed in public records as creditors for investments in GWG L bonds and/or preferred stock. Filed with a bankruptcy court in Texas, these records disclose investments of $300,000 in total. Financial Industry Regulatory Authority records show that… Read More »
West Advisory’s Walter West: Clients Invested in GWG Holdings
At least two current or former customers of West Advisory Group financial advisor Walter West (CRD# 2167649) are listed as creditors for investments in GWG L bonds and/or preferred stock, according to a recent investor complaint. Filed with a US bankruptcy court in Texas, these records disclose investments totaling more than $250,000. Securities and… Read More »
Mike Kloubec: Did Ameriprise Advisor Steal Investor Funds?
Monticello, Minnesota financial advisor Mike Kloubec (CRD# 2415021) recently received an investor complaint alleging he committed theft. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, and that he has received other investor complaints.
Muhammad Wahdy: Merrill Lynch Fired Wahdy Capital Advisor
San Francisco financial advisor Muhammad Wahdy (CRD# 6266210) was recently fired by Merrill Lynch in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Wahdy Capital.
Don Hancock: SEC Investigates Moloney Securities CEO
Manchester, Missouri financial advisor Don Hancock (CRD# 828811) is under investigation by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, where he serves as the firm’s Chief Executive Officer. Mr. Hancock’s BrokerCheck report discloses the SEC investigation into his… Read More »
Chris Haberl: Did Centaurus Advisor Recommend GWG L Bonds?
At least one current or former customer of Centaurus Financial advisor Chris Haberl (CRD# 2279941) is listed as a creditor for investments in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records disclose investments totaling $90,000. Financial Industry Regulatory Authority records show that he is a broker… Read More »
Mike Wallace: Ex-Independence Capital Advisor’s Client Invested in GWG
At least one current or former client of former Independence Capital Company advisor Mike Wallace (CRD# 2237683) is listed in public records as a creditor for an investment in GWG Holdings preferred stock. Filed with a US bankruptcy court, these records disclose an investment of $88,508.35. Financial Industry Regulatory Authority records show that Mr…. Read More »
Jane Prugsanapan: CFI Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Jane Prugsanapan (CRD# 5270442) is listed as a creditor for an investment in GWG L bonds, according to public records. These records, filed with a US bankruptcy court, disclose an investment of $80,000. Financial Industry Regulatory Authority records show that Ms. Prugsanapan, who… Read More »
Pamela Jacobs: Did Frontier Wealth Advisor Recommend GWG L Bonds?
At least one current or former customer of Frontier Wealth Strategies advisor Pamela Jacobs (CRD# 3064512) is listed in public records as a creditor for an investment in GWG Holdings L bonds and/or preferred stock. Filed with a bankruptcy court in Texas, these records describe an investment of more than $80,000. Securities and Exchange… Read More »
Shane Desherlia: $100K-$500K Bond Complaint Against Moloney Advisor
Moloney Securities financial advisor Shane Desherlia (CRD# 6800960) recently received investor complaints alleging negligence in connection with a corporate bond investment. At least one current or former customer of his is listed a creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records… Read More »
