Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Derek Ober: Did Northwestern Advisor Mislead Investor?
Sarasota, Florida financial advisor Derek Ober (CRD# 6634902) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
Christopher Gill: Cambridge Advisor Received $352K Complaint
Newark, Ohio financial advisor Christopher Gill (CRD# 4126704) allegedly misappropriated fees, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research and Cambridge Investment Research Advisors, respectively.
Steven Syslo: UBS Advisor Faced Misappropriation Complaint
A recent, denied investor complaint against Paramus, New Jersey financial advisor Steven Syslo (CRD# 4308992) alleged that he stole funds from a customer’s account. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Noah Alweiss: Suitability Complaint Against Morgan Stanley Advisor
Miami, Florida financial advisor Noah Alweiss (CRD# 5902252) recently received an investor complaint alleging that he made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Chris Peitz: Calton Advisor Faces Misappropriation Allegations
A regulatory investigation into Mitchell, South Dakota financial advisor Chris Peitz (CRD# 2050559) concerns allegations that he misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Calton & Associates, doing business as Independent Financial Center.
Amy Furuno: Ex-Ladenburg Advisor Received $3mm Complaint
A recent, denied investor complaint against New York City financial advisor Amy Furuno (CRD# 3108378) alleged that her conduct resulted in more than $3 million in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Lucid Capital Markets, having previously been registered with Ladenburg Thalmann & Company.
Carlson Law Represents Several Chuck Roberts Clients Against Stifel
Carlson Law is representing several former clients of Chuck Roberts (CRD# 2064602), a Miami Beach-based financial advisor licensed with Stifel, Nicolaus & Company. Roberts is the Managing Director of the CR Wealth Management Group. Our firm currently has two pending arbitrations, one for a family based in Los Angeles and a second for a… Read More »
Lisa Hayes: $2mm Complaint Against Ex-Commonwealth Advisor
South Nyack, New York financial advisor Lisa Hayes (CRD# 1224647) recently received an investor complaint alleging that she recommended unsuitable investments, resulting in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Commonwealth Financial Network broker is currently registered as an investment advisor with Perigon Wealth Management.
Debra Cappos: Momentum Advisor Received Suitability Complaint
Oak Park, California financial advisor Debra Cappos (CRD# 1287041) allegedly mis-managed a customer’s account, according to a denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Momentum Independent Network, having previously been registered with Western International Securities.
Roosevelt Grayson: LPL Advisor Faces Suitability Complaint
A recent investor complaint against Detroit, Michigan financial advisor Roosevelt Grayson (CRD# 1328135) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Grayson Advisory Group.
