InEnTec Inc., the Bend, Oregon-based plasma-gasification technology company (formerly known as InEnTec LLC and Integrated Environmental Technologies LLC), filed for...
Read MoreCategory Archives: Uncategorized
Chay Lapin: Former WealthForge Advisor Faces $4mm Skyloft Complaint
Indianapolis financial advisor Chay Lapin (CRD# 6275140) is involved in investor complaints alleging misconduct related to an investment in NP Skyloft DST. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with FNEX Capital, having previously been registered with WealthForge Securities in Torrance, California.
Jason Holowinski: Janney Montgomery Scott Denies 6-Figure Complaints
Recent investor complaints against Syracuse financial advisor Jason Holowinski (CRD# 2390903) alleged that he made unsuitable investment recommendations. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Janney Montgomery Scott.
Roshan Perera: Janues Capital Advisor Faces Federal Fraud Charges
The US Department of Justice recently announced fraud charges against former Queens investment advisor Roshan Perera (CRD# 4716321). According to records maintained by the Financial Industry Regulatory Authority and a press release by the US Attorney’s Office for the Eastern District of New York, the former Aegis Capital representative and executive director of Janues… Read More »
Peter Maller: $100K Complaint Against Maller Wealth Advisor
A recent investor complaint against Hunt Valley, Maryland financial advisor Peter Maller (CRD# 2322403) concerns an investment in Atlas Growth Partners. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Lincoln Financial Advisors, and a representative of Maller Wealth Advisors.
Brad Feldman: Security Service Advisor Faces Real Estate Complaint
Multiple investor complaints against San Antonio financial advisor Brad Feldman (CRD# 2858061) allege that he recommended unsuitable investments. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Raymond James Financial Service, and a representative of Security Service Investment Group.
Gregory Barson: REIT Complaint Against Ex-Crown Capital Advisor
Las Vegas financial advisor Gregory Barson (CRD# 4874815) is involved in an investor complaint relating to a non-traded REIT and other products. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Investment Planners, having previously been registered with Crown Capital Securities.
Kent Herring: $750K Complaint Against Ex-Voya Advisor
Gulf Breeze, Florida financial advisor Kent Herring (CRD# 5417262) is involved in an investor complaint alleging damages of more than $700,000. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Cambridge Investment Research, having previously been registered with Voya Financial Advisors.
Arete Wealth Advisor Justin Mackie Faces $247K Investor Complaint
Henderson, Nevada financial advisor Justin Mackie (CRD# 4736154) allegedly provided unsuitable advice, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Arete Wealth Management.
Darrach Bourke: Bond Complaint Against Bourke Investment Advisor
Mill Valley financial advisor Darrach Bourke (CRD# 5255413) has received investor complaints alleging he breached his fiduciary duty, executed unauthorized trades, and engaged in other forms of conduct. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Emerson Equity, doing business as Bourke Investment… Read More »
Greenberg Financial’s David Sherwood Faces GWG L Bond Complaint
Tucson financial advisor David Sherwood (CRD# 1024893) is involved in an investor complaint stemming from the allegedly negligent sale of a GWG L bond. Financial Industry Regulatory Authority records show that he is registered as a broker with Greenberg Financial Group.
