Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Harrison Chang: WIS Advisor’s Clients Are GWG Creditors
At least two current or former customers of Western International Securities advisor Harrison Chang (CRD# 4183646) are listed as creditors for investments in GWG L bonds, according to public records filed with a US bankruptcy court. These records describe investments totaling $350,000. Financial Industry Regulatory Authority records show that he is based in Pasadena,… Read More »
Ryan Burnham: Centaurus Advisor Linked to GWG L Bond Sales
At least one current or former customer of Centaurus Financial advisor Ryan Burnham (CRD# 5066139) is listed as a creditor for an investment in GWG L bonds, according to public records. Filed with a US bankruptcy court in Texas, these records describe a total investment of $125,000. Financial Industry Regulatory Authority records show that… Read More »
Robert Barghini: Former Ausdal Advisor Faces GWG Complaint
At least one current or former customer of former Ausdal Financial Partners advisor Robert Barghini (CRD# 3141715) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a US bankruptcy court in Texas, these records describe investments totaling $200,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Did DH Hill Advisor Les Kern Recommend GWG L Bonds?
Kingwood, Texas financial advisor Les Kern (CRD# 1038728) has received multiple investor complaints alleging his conduct resulted in five- or six-figure damages. Public records filed with a US bankruptcy court in Texas, meanwhile, list at least one current or former customer of Mr. Kern as creditor for an investment in GWG L bonds. The… Read More »
Pat Shortal: Moloney Advisor’s Client Invested $204K in GWG
At least one current or former client of Moloney Securities financial advisor Pat Shortal (CRD# 2233172) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records disclose an investment totaling $204,400. Financial Industry Regulatory Authority records show that Mr. Shortal… Read More »
Burt Bartlett: GWG L Bond Complaint Against Landolt Advisor
Mequon, Wisconsin financial Burt Bartlett (CRD# 1038728) recently received an investor complaint alleging that he sold unsuitable GWG L bonds. Public records filed with a US bankruptcy court in Texas list at least one current or former customer of Mr. Bartlett as creditor for a $152,625 investment in GWG Holdings preferred stock. Financial Industry… Read More »
Anthony Desjardins: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Anthony Desjardins (CRD# 6528916) is listed as a creditor for a GWG L bond investment, according to public records. Filed with a US bankruptcy court, the records disclose an investment of $100,000. Financial Industry Regulatory Authority records show that Mr. Desjardins is a… Read More »
Bob Bassari: Ex-Great Point Advisor Faces GWG Complaint
Former Chicago financial advisor Bob Bassari (CRD# 2695482) recently received an investor complaint alleging he recommended an unsuitable investment in a GWG L bond. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Great Point Capital.
Robert Gustafson: $110K GWG Complaint Against Moloney Advisor
Moloney Securities financial advisor Robert Gustafson (CRD# 5753473) allegedly recommended an unsuitable corporate bond investment, according to a recent investor complaint. Public records filed with a US bankruptcy court show that at least one current or former customer of his is listed as a creditor for a $110,000 GWG L bond investment. Financial Industry… Read More »
Infinex Advisor Lisa Heathfield: Records List $100K GWG Investment
At least one current or former customer of Infinex Investments advisor Lisa Heathfield (CRD# 6372828) is listed as a creditor for an investment in GWG Holdings L bonds and/or preferred stock, according to public records. These records, filed with a bankruptcy court in Texas, describe an investment of $100,000. Financial Industry Regulatory Authority records… Read More »
