Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Christie Caliva: Commonwealth Advisor Faces Franklin Square Complaint
San Diego financial advisor Christie Caliva (CRD# 5527773) is involved in an investor complaint stemming from an investment in Franklin Square Investment Corp. III. Records provided by the Financial Industry Regulatory Authority show that she is currently registered as a broker and an investment advisor with Commonwealth Financial Network.
Glenn Guilbault Jr.: Nola Wealth Advisor Faces Investor Complaint
A recent investor complaint against Metairie, Louisiana financial advisor Glenn Guilbault Jr. (CRD# 4309287) alleges that his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker with Cetera Advisors, doing business as Nola Wealth Management.
Stan Smith: $250K Complaint Against Wells Fargo Advisor
Burlington, North Carolina financial advisor Stan Smith (CRD# 1317559) allegedly provided unsuitable investment advice to a client, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Wells Fargo Clearing Services.
Mark Ferrer: Cetera Advisor Fired by Raymond James
Wilmington, North Carolina financial advisor Mark Ferrer (CRD# 1053006) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Raymond James representative is currently a broker with Commonwealth Financial Network.
John Forster: Merrill Lynch Advisor Receives $272K Annuity Complaint
A recent investor complaint against Washington, DC financial advisor John Forster (CRD# 1303832) alleges that he failed to act in the investor’s best interest, leading to damages of more than $200,000. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with Merrill Lynch.
Doug Schmitz: Classic Advisor Sanctioned by SEC Over LETFs
Fargo-based financial advisor Doug Schmitz (CRD# 1771132) allegedly recommended unsuitable and over-concentrated investments in leveraged exchange-traded funds to his clients, according to a recent sanction by the Securities and Exchange Commission. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with Classic and an investment advisor… Read More »
Duncan MacEachern: $800K Complaint Against Ex-Centaurus Advisor
A recent investor complaint against Royal Oak financial advisor Duncan MacEachern (CRD# 1856591) alleges that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Celtic Wealth Management Group. Mr. MacEachern’s BrokerCheck report discloses one investor… Read More »
Charles Fagan: Raymond James Denied $303K Complaint
St. Louis financial advisor Charges Fagan (CRD# 5040887) was recently involved in an investor complaint alleging he violated industry standards. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Raymond James Financial Services.
Jake Cazier: $850K Complaint Against Wealth Navigation Advisor
A recent investor complaint against Centerville, Utah financial advisor Jake Cazier (CRD# 6904198) alleges that he engaged in conduct resulting in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former JW Cole Financial broker is currently an investment advisor with Wealth Navigation Advisors.
Honor Investment Advisor Mike Baumann Faces $295K Complaint
Melbourne, Florida financial advisor Mike Baumann (CRD# 1518081) recently received an investor complaint alleging his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that the former Berthel Fisher & Company broker is currently registered as an investment advisor with Honor Financial Group.
