Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
Read MoreCategory Archives: Uncategorized
Donovan Kelly: DTK Financial Advisor Suspended over Oil & Gas Notes
Donovan Kelly (CRD# 2622366), a broker and financial advisor in Billings, Montana, has been sanctioned and suspended over findings of securities industry rule violations. Financial Industry Regulatory Authority records show that he is a representative of Independent Financial Group, doing business as DTK Financial Services.
Rita Mansour: Private Placement Complaints Against Toledo Advisor
A pending investor complaint against Toledo financial advisor Rita Mansour (CRD# 1968418) alleges she recommended an unsuitable private placement. Financial Industry Regulatory Authority records show that she is a representative of Mansour Wealth Management at McDonald Partners.
Denver Advisor Peter Egan: $3.5 Million Complaint Denied by Firm
Denver broker Peter Egan (CRD# 2884105) received an investor complaint alleging more than $3 million in damages. Financial Industry Regulatory Authority records show that he is a representative of Northwestern Mutual Investment Services, while his firm’s website shows that he is a representative of Northwestern office Sparks Financial Services.
Shane McMillan: GPB Complaint Against Englewood Arete Advisor
Shane McMillan (CRD# 5126963), a broker and investment adviser in Englewood, Colorado, has received investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a representative of Arete Wealth Management.
GPB Complaint Against Las Vegas Advisor Kyle Kirwan
Las Vegas and Henderson broker and investment advisor Kyle Kirwan (CRD# 5088691) recently received an investor complaint alleging six-figure damages relating to an investment in GPB Holdings. Financial Industry Regulatory Authority records show that he is a representative of Cornerstone Wealth Management, offering securities through Independent Financial Group.
Brett Emmeluth: $100K Complaint Against Castle Pines LPL Advisor
LPL Financial representative Brett Emmeluth (CRD# 4707323) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is based in Castle Pines, Colorado and has previously received an investor complaint that reached settlement.
Arkadios Advisor Mark Thompson Has $1 Million Investor Complaint
A pending investor complaint against Atlanta broker and investment advisor Mark Thompson (CRD# 4632270) alleges at least $1 million in damages. Financial Industry Regulatory Authority records show that he is a broker at Arkadios Capital and an investment advisor at EPG Wealth Management, formerly registered at Triad Advisors.
Atlanta Advisor Jeffrey Shaver Has $1 Million Pending Complaint
Atlanta investment advisor Jeffrey Shaver (CRD# 2675592) has received an investor complaint alleging seven-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arkadios Capital broker is no longer registered as a broker, though he is an investment advisor at ACG Wealth.
John Mateyko: $500K REIT Complaint Against IDEX Advisor
An investor complaint against Rolling Meadows, Illinois broker and investment advisor John Mateyko (CRD# 3275621) alleges half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a representative of IDEX Financial Group, offering securities through Peachcap Securities.
Cristina Briboneria: Investor Complaint Against Atlanta Advisor
Atlanta broker and investment advisor Cristina Briboneria (CRD# 4961280) has received an investor complaint regarding a Syndicated Conservation Easement Strategy investment. Financial Industry Regulatory Authority records show that she is a representative of oXYGen Financial, which offers securities through Kestra Investment Services.
