New York City financial advisor Mack Miller (CRD# 2822317) was recently sanctioned and suspended in connection with alleged excessive and...
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FINRA Suspends Fairfield Advisor Denise Sobczak: Forgery Allegations
Kestra Investment Services financial advisor Denise Sobczak (CRD# 3078128) allegedly forged customer signatures, according to a recent Financial Industry Regulatory Authority sanction. FINRA records show that the Fairfield, New Jersey broker and investment advisor was issued a three-month suspension from associating with any FINRA member firm.
Brian Donnelly: Manhattan Ridge Advisor Suspended by FINRA
Former Iselin, New Jersey financial advisor Brian Donnelly (CRD# 4288121) allegedly participated in an undisclosed private securities transaction, according to a recent sanction suspending him from acting as a broker. Financial Industry Regulatory Authority records show that he was most recently a broker and investment advisor with First Allied Securities, doing business as Manhattan… Read More »
FINRA Bars Oskkosh Advisor Tony Liddle: GWG L Bond Allegations
The Financial Industry Regulatory Authority recently barred ex-Landolt Securities advisor Tony Liddle (CRD# 5478479). FINRA records show that the former Oshkosh, Wisconsin-based representative was barred in relation to allegations he improperly borrowed almost $2 million from his clients at two member firms.
G.A Repple Advisor Paul Witthauer: GWG L-Bond Complaints
A recent investor complaint disclosed on Jamestown, North Dakota financial advisor Paul Witthauer’s (CRD# 1672263) BrokerCheck report concerns allegations regarding GWG L-bonds. Financial Industry Regulatory Authority records show that Mr. Witthauer is a broker and investment advisor with G.A. Repple & Company.
RockPort Global’s Donald Gunn: $500K GPB Complaint
Investor complaints disclosed on Tampa broker Donald Gunn’s (CRD# 1442917) BrokerCheck report allege fraud and other forms of misconduct relating to investments in GPB Capital and other products. Financial Industry Regulatory Authority records show that he is a representative of International Assets Advisory, doing business as RockPort Global.
Thomas Schultz: GWG Complaint Against Lyfe Advisors Broker
Scottsdale financial advisor Thomas Schultz (CRD# 5614228) has received investor complaints alleging his investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Titan Securities, doing business as Lyfe Advisors.
Keystone Retirement’s Ron Paull: Archbald Advisor Has REIT Complaint
Archbald, Pennsylvania financial advisor Ron Paull (CRD# 2968273) has received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show he is a representative of Cambridge Investment Research, operating as Keystone Retirement Resources, and has previously been sanctioned by securities regulators.
Peter Rhee: $250K AGP Complaint Against Mosaic Private Wealth Advisor
Peter Rhee (CRD# 2326728), a financial advisor in Frankfort, Illinois, has received an investor complaint alleging his unsuitable investment recommendations caused six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with First Allied Securities and an investment advisor with Cetera Investment Advisers, doing business as Mosaic Private Wealth.
James Ciocia: $200K Complaint Against Generations Tax & Wealth Advisor
James Ciocia (CRD# 1619245), a financial advisor in Tampa, Florida, has received investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Cetera Financial Specialists and owner of Generations Tax & Wealth Management.
REIT Complaint Against Infinity Financial Advisor Dean Nowak
Winter Park, Florida financial advisor Dean Nowak (CRD# 1091819) allegedly recommended an unsuitable real estate investment trust, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation and president of Infinity Financial Network.
