Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreCategory Archives: Uncategorized
Alex Maltez: Newbridge Advisor’s Client Invested in GWG L Bonds
A recent investor complaint against Deland, Florida financial advisor Alex Maltez (CRD# 6506116) alleges that he recommended unsuitable alternative investments. Public records filed with a US bankruptcy court in Texas indicate that at least one current or former customer of the former Newbridge representative is listed as a creditor for a $225,000 investment in… Read More »
Alan Pershing: West Advisory Group Rep’s Client Listed as GWG Creditor
At least one current or former client of Pittsburgh financial advisor Alan Pershing (CRD# 5942850) is listed in US bankruptcy court records as a creditor for an investment in GWG L bonds. Filed in Texas, the records describe an investment of more than $115,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records… Read More »
Adrian Escarcega: Did Ex-Advisory Group Broker Recommend L Bonds?
At least one current or former customer of former Advisory Group Equity Services advisor Adrian Escarcega (CRD# 6525236) is listed as a creditor for investments in GWG Holdings L bonds, according to public records. Filed with a US bankruptcy court in Texas, these records describe investments totaling $85,000. Financial Industry Regulatory Authority show that Mr. Escarcega was last based in Woburn,… Read More »
Joe Hurley: Gateway NW Advisor Faces Investor Complaint
A recent investor complaint against Battle Ground, Washington financial advisor Joe Hurley (CRD# 4499819) alleges that he deprived an investor of the ability to generate reasonable returns. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Gateway NW Wealth Advisors.
Nathan Wells: Real Estate Complaint Against Wells Financial Advisor
Morrison, Illinois financial advisor Nathan Wells (CRD# 5553359) allegedly provided unsuitable advice that resulted in six-figure damages, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Cetera Advisor Networks, doing business as Wells Financial Services.
Matt Gaspar: Why Did Prospera Advisor Resign from Merrill Lynch?
Paradise Valley, Arizona financial advisor Matt Gaspar (CRD# 5772487) recently resigned from Merrill Lynch in connection with allegations of misconduct. Financial Industry Regulatory Authority records show that he recently registered as a broker and an investment advisor with Prospera Financial Services.
Andrew Feyerabend: Bond Complaint Against Moloney Securities Advisor
Greenville, South Carolina financial advisor Andrew Feyerabend (CRD# 5915487) recently received an investor alleging misconduct related to a corporate bond investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Investment Center.
Mark Fenlon: CliftonLarsonAllen Advisor Lands Fraud Complaint
A recent civil complaint against Minneapolis financial advisor Mark Fenlon (CRD# 1466512) alleges fraud and misrepresentation relating to a direct investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with CliftonLarsonAllen Wealth Advisors.
William Beasley: Negligence Complaint Against BHK Advisor
Birmingham financial advisor William Beasley (CRD# 1750089) recently received an investor complaint alleging he mismanaged a customer’s account. Financial Industry Regulatory Authority records show that the BHK Securities broker and investment advisor was recently sanctioned by FINRA in connection to allegations of negligence.
CIG Advisors Jeffrey Segal & Seth Renaud: Franklin Square Complaint
Recent investor complaints against Glastonbury, Connecticut financial advisors Jeffrey Segal (CRD# 1886939) and Seth Renaud (CRD# 4946831) alleged that they recommended unsuitable investments in a Franklin Square business development company and various real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that both are registered as a broker and an investment advisor… Read More »
