Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Opher Shallom: Wells Fargo Advisor Faced Options Complaint
A recent investor complaint against Wayzata, Minnesota financial advisor Opher Shallom (CRD# 4060644) alleges that he recommended an inappropriate strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors Financial Network.
Russ Cesari: Why Did Northwest Financial Fire LPL Advisor?
Herndon, Virginia financial advisor Russ Cesari (CRD# 2927448) was recently terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial, having previously been registered with Northwest Financial Advisors.
Mark Willets: Options Complaint Against Merrill Advisor
Scottsdale, Arizona financial advisor Mark Willets (CRD# 2151477) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Karen Yasukawa: Kikawa Group Advisor Lands $196K Complaint
A recent, denied investor complaint against Honolulu, Hawaii financial advisor Karen Yasukawa (CRD# 1540654) alleges that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James & Associates.
Dan Strain: $500K REIT Complaint Against Cape Securities Advisor
Columbus, Georgia financial advisor Dan Strain (CRD# 437903) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cape Securities and an investment advisor with Cape Investment Advisory.
James Alperin: Wells Fargo Advisor Faces $5mm Complaint
Westport, Connecticut financial advisor James Alperin (CRD# 2467392) recently received an investor complaint alleging that his conduct resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo, having previously been registered with Morgan Stanley.
Alex Barron: FINRA Suspends Former IRC Securities Advisor
Former New York City-based financial advisor Alex Barron (CRD# 4394048) was recently sanctioned, suspended, and fined in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with IRC Securities, and he is not currently registered as a broker.
Carlson Law Is Representing Howard Kavinsky Victim
Carlson Law is representing a former client of Howard Kavinsky and plans to file a legal claim regarding potential fraud and/or embezzlement. Howard Kavinsky is a former financial advisor that was most recently employed by Supreme Alliance (2024), B. Riley Wealth Management (2022-2024) and National Securities Corporation (2019-2022). He was permanently barred by the… Read More »
Investment Fraud in U.S. Reaches Record Levels
Unprecedented $4.57 Billion Lost to Investment Scams Last Year Tech-Savvy Millennials Fell for More Investment Scams Than Any Age Group A record 86.7% of Losses Involved Crypto Totaling $3.96 Billion Investment fraud is skyrocketing and has become the No. 1 costliest type of fraud in America, according to the Federal Bureau of Investigation (FBI). … Read More »
Alvery Bartlett: Ex-Aegis Advisor Faces $2mm Complaint
Former Clayton, Missouri financial advisory Alvery Bartlett (CRD# 13975) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Aegis Capital and Arete Wealth Management, among other firms.
