Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Matt Hawkins: Cola Wealth Advisor Received Bond Complaint
At least one former client of Centaurus Financial advisor Matt Hawkins (CRD# 5731136) is listed as a creditor for an investment in an L Bond product issued by GWG Holdings, according to records filed with a US bankruptcy court. These records describe an investment of $140,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Mark Reisbord: Centaurus Advisor’s Client Among GWG L Bond Creditors
Records filed with a US bankruptcy court reveal that at least one former client of Centaurus Financial advisor Mark Reisbord (CRD# 1017607) is listed as a creditor for an investment in an L Bond issued by GWG Holdings. The records describe an investment of $120,000. Financial Industry Regulatory Authority records show that Mr. Reisbord… Read More »
Moe Azizi: Centaurus Advisor’s Clients Invested in GWG L Bonds
Records filed with a US bankruptcy court disclose that at least two current or former customers of Centaurus Financial advisor Moe Azizi (CRD# 2154719) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments of more than $239,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Michael Todd: FINRA Suspends Former Todd Financial Services Advisor
Records filed with a US bankruptcy court disclose that at least one former client of ex-Centaurus Financial advisor Michael Todd (CRD# 1830390) is listed as a creditor for investments in GWG Holdings L bonds and/or preferred stock. The records, filed in Texas, describe investments exceeding $100,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Gerry Siegel: GWG Creditors Include Aegis Advisor’s Clients
Records filed with a US bankruptcy court show that at least four current or former clients of Aegis Capital advisor Gerry Siegel (CRD# 418229) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $500,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
Steve Kiszlowski: Did Ex-Center Street Advisor Recommend GWG L Bonds?
Records filed with a US bankruptcy court show that at least one current or former client of former Center Street Securities advisor Steve Kiszlowski (CRD# 2829988) is listed as a creditor for investments in GWG Holdings L bonds. The records describe investments totaling more than $300,000. Financial Industry Regulatory Authority records show that Mr…. Read More »
William Fuentes: Centaurus Advisor’s Clients Listed as GWG Creditors
Records filed with a US bankruptcy court indicate that at least ten current or former customers of Centaurus Financial advisor William Fuentes (CRD# 2829988) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records, filed in Texas, describe investments totaling more than $1 million. Financial Industry Regulatory Authority… Read More »
Ron McLeod: $400K GWG Complaint Against Ex-Arque Capital Advisor
Records filed with a US bankruptcy court indicate that at least four current or former customers of former Moloney Securities and Arque Capital advisor Ron McLeod (CRD# 3078366) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments totaling more than $1 million. Financial Industry Regulatory… Read More »
Michael Barrows: GWG Complaint Against Ex-Accelerated Advisor
Records filed with a US bankruptcy court indicate that at least one current or former client of former Accelerated Capital Group broker Michael Barrows (CRD# 2933260) is listed as a creditor for investments in GWG Holdings L bonds. The records describe investments totaling $1 million. Records maintained by the Financial Industry Regulatory Authority and… Read More »
Alan Birkley: Newbridge Advisor Received GWG L Bond Complaint
Records filed with a US bankruptcy court indicate that at least two current or former customers of Newbridge Securities advisor Alan Birkley (CRD# 2829988) are listed as creditors for investments in GWG Holdings L bonds and/or preferred stock. The records describe investments of more than $380,000 cumulatively. Financial Industry Regulatory Authority records show that… Read More »
