Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Clayton Shum: Why Did Grove Point Fire Burlingame Advisor?
Burlingame financial advisor Clayton Shum (CRD# 4412927) was recently fired from Grove Point Investments in connection with allegations he violated firm policies. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with Aegis Capital.
Michael Colletti: FINRA Files Complaint Against Polaris Advisor
A pending regulatory complaint against Kings Park, New York financial advisor Michael Colletti (CRD# 4577898) alleges that he made unauthorized trades in an elderly customer’s account. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Sovereign Global Advisors, doing business as Polaris Financial Group.
Louis Valdez: Complaint Against NYC Spartan Advisor Seeks $1 Million
New York City financial advisor Louis Valdez (CRD# 2926686) recently received an investor complaint alleging that his conducted resulted in seven-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker with Spartan Capital Securities, having previously been registered with BlackBook Capital and Columbus Advisory Group.
Joao Pinto: $268K Complaint Against Spartan Capital Advisor
New York City financial advisor Joao Pinto (CRD# 6298233) allegedly churned investments and made misrepresentations of material facts, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Spartan Capital Securities, having previously been registered with Benchmark Investments.
Equity Services Advisor Keith Baron Has Misappropriation Complaint
A recent investor complaint alleges that former Jericho, New York financial advisor Keith Baron (CRD# 3231494) solicited investments in order to misappropriate funds. Records provided by the Financial Industry Regulatory Authority indicate that Mr. Baron was most recently registered as a broker with Equity Services, though he is not currently registered with any state… Read More »
American Equity’s Shane Elsbury: GWG Complaint Seeks $150K
Investor complaints against New Albany, Indiana financial advisor Shane Elsbury (CRD# 5661717) allege the unsuitable sale of investments in GWG L bonds. Financial Industry Regulatory Authority records indicate that he is a broker with American Equity Investment Corporation.
Staci Compagno: Ex-Allegis Advisor Involved in $2mm Complaint
A new investor complaint alleges that Provo financial advisor Staci Compagno (CRD# 2824392) engaged in conduct that resulted in seven-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Allegis Investment Services representative is currently registered as an investment advisor with Townsquare Capital.
Gary Benson: GWG L Bond Complaint Against Pash & Benson Advisor
Encino financial advisor Gary Benson (CRD# 1182211) allegedly recommended an unsuitable GWG L bond, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Independent Financial Group, doing business as Pash & Benson.
Eileen Cure: $200K Complaint Against Ex-HD Vest Advisor
A pending investor complaint against former Nederland and Montgomery, Texas financial advisor Eileen Cure (CRD# 2224269) alleges that her conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that she is not currently registered as a broker or an investment advisor. She was… Read More »
Bill Dobbs: Corporate Bond Complaint Against Swan Financial Advisor
Clinton, Tennessee financial advisor Bill Dobbs (CRD# 1064156) recently received an investor complaint alleging he provided unsuitable investment advice that resulted in losses. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Centaurus Financial, doing business as Swan Financial Services.
