Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Jonathan Cummings: REIT Complaint Against Hurst Advisor
LPL Financial advisor Jonathan Cummings (CRD# 2715296) has received investor complaints alleging he sold unsuitable real estate investment trust (REIT) products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Hurst, Texas.
WC Stewart: Coastal Equities Advisor Has Suitability Complaint
Covington, Kentucky financial advisor WC Stewart (CRD# 2462780) allegedly provided misleading information regarding an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Coastal Equities and a representative of WC Stewart & Associates.
John Cody: Fraud Complaint Against Los Angeles Advisor
Merrill Lynch financial advisor John Cody (CRD# 49467) recently received an investor complaint alleging he engaged in fraud and other forms of wrongdoing. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Los Angeles.
Red Bank Advisor Mickey Schreiber: New Investor Complaint
Aegis Capital financial advisor Mickey Schreiber (CRD# 1032600) has received multiple investor complaints alleging he engaged in misconduct, including unauthorized and excessive trading. Financial Industry Regulatory Authority records show that he is a broker based in Red Bank, New Jersey.
Tom Holly: $100K GWG Complaint Against Boca Raton Advisor
B. Riley Wealth Management financial advisor Tom Holly (CRD# 1713313) recently received an investor complaint alleging he unsuitably recommended a GWG L bond. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boca Raton, Florida.
Travis Wolfe: $300K GWG Complaint Against Chicago Ausdal Advisor
Downers Grove, Illinois financial advisor Travis Wolfe (CRD# 5851265) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ausdal Financial Partners. He is also registered with the firm’s offices in Chicago, Illinois.
Former SunTrust Advisor Manny Fernandez: Northstar Complaint
Truist Investment Services advisor Manny Fernandez (CRD# 3079976) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Coral Gables, Florida.
The Other Side of Medicine’s Azmi Sharif: Complaint Settles for $500K
An investor complaint against Elhurst, Illinois financial advisor Azmi Sharif (CRD# 2343413) recently settled for $500,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as The Other Side of Medicine.
GPB Capital: What To Do If You Lost Money in “Ponzi-Like” Scheme
The Securities and Exchange Commission as well as numerous state securities regulators have accused GPB Capital, an asset manager and investment adviser, of running a “Ponzi-like scheme” that defrauded its investors. A civil action initiated by the SEC in 2021 specifically charges GPB Capital, its owner David Gentile, and other people and entities associated… Read More »
Kenneth Blumberg: $100K Fraud Complaint Against Hunt Valley Advisor
Stifel Nicolaus & Company financial advisors Kenneth Blumberg (CRD# 1585520) recently received an investor complaint alleging his advice resulted in damages of up to half a million dollars. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Hunt Valley, Maryland.
