Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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FINRA Bars Oshkosh 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.
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.
Anthony Gallea: Options Complaints Against Pelican Bay Group Advisor
Hendersonville, North Carolina financial advisor Anthony Gallea (CRD# 713980) has received investor complaints relating to an allegedly unsuitable options trading strategy. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Morgan Stanley, whose website shows that he is a member of Pelican Bay Group Wealth Management.
Clark Harris: REIT Complaint Against Titan Wealth Advisor
Bloomfield Hills financial advisor Clark Harris (CRD# 2730928) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Aurora Securities, doing business as Titan Wealth Management. He was formerly registered with Sigma Financial Corporation.
$500K Investor Complaint Against Clearwater Advisor Roof Douglass
Pending investor complaints against Clearwater, Florida financial advisor Roof Douglass (CRD# 1619835) allege he recommended unsuitable investments. Financial Industry Regulatory Authority records show he is a broker with Securities America and the owner of Douglass Investment Services. He is also known as Alan Douglass and was formerly a broker with Investacorp.
