Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Geoff Wolterstorff: Why Is SEC Investigating LifeMark Advisor?
Eau Claire, Wisconsin financial advisor Geoff Wolterstorff (CRD# 2711805) is the subject of an investigation by the Securities and Exchange Commission. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with LifeMark Securities Corporation, having previously been registered with Foresters Equity Services.
Nick Owoyemi: Newbridge Advisor’s Client Invested in GWG
Records filed with a US bankruptcy court show that at least one former client of Newbridge Financial Services advisor Nick Owoyemi (CRD# 1822177) is listed as a creditor for an investments in a GWG Holdings L bonds. The records describe an investment of $80,000. Financial Industry Regulatory Authority records show that Mr. Owoyemi is… Read More »
Suzanne Powell: Meridian Advisor’s Clients Are GWG Creditors
At least 22 current or former customers of Meridian Wealth Management advisor Suzanne Powell (CRD# 4752270) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court. These records describe investments totaling more than $2.5 million. Securities and Exchange Commission records show that… Read More »
John Nole: Paulson Advisor’s Clients Listed as GWG Creditors
Records filed with a US bankruptcy court disclose that at least six current or former customers of Paulson Investment Company advisor John Nole (CRD# 1609191) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $1 million. Records maintained by the Financial Industry… Read More »
Jason Walsh: $3.7 Million Complaint Against Ex-Network 1 Advisor
Hauppauge, New York financial advisor Jason Walsh (CRD# 5758243) is involved in an investor complaint alleging damages of more than $3 million. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker with PHX Financial, having previously been registered with Network 1 Financial Securities and Joseph Gunnar & Company.
Colin Mansfield: $300K Complaint Against Global Wealth Advisor
A recent investor complaint against San Jose financial advisor Colin Mansfield (CRD# 4643275) alleges six-figure damages resulting from misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with DFPG Investments, doing business as Global Wealth Partners.
Samuel Sutterfield: Elevate Wealth Advisor Denies $100K Bond Complaint
Centaurus Financial advisor Samuel Sutterfield (CRD# 5988560) is involved in an investor complaint alleging $100,000 damages stemming from investments in corporate bonds and real estate. Publicly available records filed with a US bankruptcy court in Texas, meanwhile, list at least one current or former client of his as creditor for an investment in a… Read More »
Nate Goldenberg: NextWave Advisor’s Client Listed as GWG Creditor
Records filed with a US bankruptcy court disclose that at least one current or former client of NextWave Financial advisor Nate Goldenberg (CRD# 2154719) is listed as creditor for an investment in GWG Holdings preferred stock. The records describe an investment of $205,000. Securities and Exchange Commission records show that Mr. Goldenberg is currently… Read More »
Otto Bohon Jr.: $100K Bond Complaint Against Ex-Centaurus Advisor
At least one former client of former Centaurus Financial advisor Otto Bohon Jr. (CRD# 5677597) is listed as a creditor for an investment in a GWG L Bond, according to records filed with a US bankruptcy court. Financial Industry Regulatory Authority records show that the former Tucson-based advisor has received multiple investor complaints regarding… Read More »
Mark Upchurch: Ex-Centaurus Advisor Faces $500K Bond Complaint
At least one former client of ex-Centaurus Financial advisor Mark Upchurch (CRD# https://brokercheck.finra.org/individual/summary/2937074) is listed as a creditor for an investment in a GWG L Bond, per records filed with a US bankruptcy court. These records detail an investment of $100,000. Financial Industry Regulatory Authority records show that Mr. Upchurch was most recently based… Read More »
