Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Hiss Sherman Advisor Bob Hiss: GWG Holdings Complaint
At least five current or former clients of IFP Securities advisor Bob Hiss (CRD# 1599380) are listed as creditors for investments in GWG Holdings, according to public records. Filed with a US bankruptcy court in Texas, these records describe investments of more than $1 million in total. Financial Industry Regulatory Authority records show that Mr…. Read More »
Cornell Asset Management’s Jacob Cornell: Clients Invested in GWG
At least five current or former customers of Centaurus Financial advisor Jacob Cornell (CRD# 6286359) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court, the records describe investments totaling $650,000. Financial Industry Regulatory Authority records show that Mr. Cornell… Read More »
Gisela Lake: KW Securities Advisor Fired by BB Graham & Company
Larkspur, California financial advisor Gisela Lake (CRD# 1121376) was recently fired by BB Graham & Company in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she is currently registered as a broker with KW Securities Corporation.
Chris Pelley: Did Apollon Wealth Advisor Recommend GWG L Bonds?
At least six current or former clients of Denver financial advisor Chris Pelley (CRD# 1609191) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court in Texas, the records describe investments totaling more than $800,000. Financial Industry Regulatory Authority records… Read More »
Todd Gauthier: Truist Advisor Receives Options Complaint
Alpharetta financial advisor Todd Gauthier (CRD# 1429968) recently received an investor complaint alleging misconduct relating to an options investment. Financial Industry Regulatory Authority records show that he is a broker with Truist Investment Services and an investment advisor with Truist Advisory Services.
Kurt Cambier: Did Cambridge Advisor Sell Unsuitable Oil & Gas Product?
Littleton, Colorado financial advisor Kurt Cambier (CRD# 1392482) has received multiple investor complaints alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Centennial Capital Partners.
Plato Guerra: Pro Ace Wealth Advisor Faces ETF Complaint
A recent investor complaint alleges that Camarillo, California financial advisor Plato Guerra (CRD# 4504920) engaged in conduct that resulted in damages in a customer’s account. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with SagePoint Financial, operating under the brand Pro Act Wealth Solutions.
Ryan Hall: $800K Bond Complaint Against Celtic Wealth Advisor
Royal Oak, Michigan financial advisor Ryan Hall (CRD# 5077163) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with LPL Financial, doing business as Celtic Wealth Management.
Hobert Wealth’s Pat Hobert: Clients Listed as GWG Creditors
At least 11 current or former clients of Centaurus Financial advisor Pat Hobert (CRD# 805680) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court in Texas. The records describe investments totaling more than $1 million. Financial Industry Regulatory Authority records show… Read More »
Joseph Beam: GWG Complaints Against Beam & Associates Advisor
Former Flat Rock, North Carolina financial advisor Joseph Beam (CRD# 5407778) allegedly engaged in misconduct in connection with investments in GWG Holdings, according to recent investor complaints. Records filed with a US bankruptcy court in Texas reveal that at least two of his current or former clients are listed as creditors for 6-figure investments… Read More »
