Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations....
Read MoreCategory Archives: Uncategorized
Leighton Stallones: San Marcos Rep Has 6-, 7-Figure Complaints
Leighton Stallones (CRD# 433344), a Momentum Independent Network stockbroker in San Marcos, Texas, has been involved in disputes alleging he caused millions in cumulative losses. Financial Industry Regulatory Authority disclosures include a recent pending complaint against Stallones concerning allegations of unsuitable investments.
Martin Lerner: SOAEX, Energy 11/12 Complaints Against Boca Raton Rep
Boca Raton stockbroker Martin Lerner (CRD# 871038), a representative of David Lerner Associates, is involved in recent customer disputes alleging $700,000 in damages. According to Financial Industry Regulatory Authority disclosures, Lerner’s records also include a sanction and suspension by securities regulators over allegations he violated industry rules. Martin Lerner’s BrokerCheck report lists two pending… Read More »
$650K Complaint Against Flower Mound Rep William Burks
Centaurus Financial stockbroker and investment adviser William Burks (CRD# 2944992), registered with the firm’s branch office in Flower Mound, Texas, has been involved in settled, pending, and denied investor complaints. According to public records maintained by the Financial Industry Regulatory Authority, one recent complaint against William Burks (also known as Bill Burks) alleges more… Read More »
Metric Rep Brett Ellen Has 6-Figure Investment Complaints
Las Vegas stockbroker Bret Ellen (CRD# 1460478) allegedly recommended unsuitable investments that caused six-figure losses, per investor complaints reported to the Financial Industry Regulatory Authority. Currently a representative of Metric Financial, Ellen has been the subject of more than a dozen pending, settled, denied, or closed customer complaints.
Danny Young: 6-Figure Complaint Against Lake City, Adel Rep
Cetera Advisor Networks representative Danny Young (CRD# 4115155) allegedly recommended risky investments that led to substantial losses, according to a pending investor complaint against him. A Financial Industry Regulatory Authority (FINRA) database shows that Young is registered with the firm’s branch offices in Lake City, Florida; Adel, Georgia; and Douglas, Georgia.
Gerald Brodsky: Barred NYC Rep Has $800k Concord Group Complaint
Ex-Dinosaur Financial Group representative Gerald Brodsky (CRD# 1172647) was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. According to FINRA, he was registered with the firm’s branch office in New York City and is the subject of a pending customer complaint.
7-Figure Complaints Against Long Island Rep Joseph Valdini
Ex-Aegis Capital stockbroker Joseph Valdini (CRD# 5517610) allegedly caused investors more than $2 million in losses, according to customer complaints against him. Financial Industry Regulatory Authority disclosures shows that Valdini has been barred from acting as a broker, before which he was registered with Aegis Capital and Worden Capital Management in Melville and Garden… Read More »
San Jose Rep David Bibo Allegedly Caused 7-Figure REIT Losses
David Bibo (CRD# 2602436), a representative of Western International Securities, is the subject of pending and denied customer complaints. According to the Financial Industry Regulatory Authority, one investor alleges the San Jose stockbroker and investment adviser caused $1.5 million in losses.
Brian Marston: $1.7MM Real Estate Complaint Against Woodbury Rep
Greenwood Village, Colorado stockbroker and investment adviser Brian Marston (CRD# 733083) is involved in pending investor disputes. According to the Financial Industry Regulatory Authority, Marston is currently a representative of Woodbury Financial Services, where he has been registered since 2006.
$3MM Complaint Against Elm Grove Rep Timothy Bartelt
Raymond James stockbroker Timothy Bartelt (CRD# 2501532) is the subject of an investor complaint alleging $3 million in damages. According to the Financial Industry Regulatory Authority, Bartelt is based in the firm’s branch office in Elm Grove, Wisconsin and the complaint against him is still pending.
