First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Doug Charney: $100K Complaint Against Prospera Advisor
A recent investor complaint against Harrisburg, Pennsylvania financial advisor Doug Charney (CRD# 1838995) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Prospera Financial Services.
Mark Kemp: McNally Advisor Sanctioned over Reverse Convertibles
A recent sanction against Corpus Christi, Texas financial advisor Mark Kemp (CRD# 2057200) alleged that he engaged in inequitable sales practices when selling reverse convertible notes to elderly investors. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with McNally Financial Services, doing business as Kemp… Read More »
Jonathan Upton: LPL Advisor Faces $250K REIT Complaint
Multiple investor complaints against Louisville, Kentucky financial advisor Jonathan Upton (CRD# 4559794) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Keystone Financial Group.
Joy Simar: $203K Complaint Against LPL/Pruco Advisor
McKinney, Texas financial advisor Joy Simar (CRD# 6147731) recently received an investor complaint alleging 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 LPL, which recently launched a strategic partnership with Prudential.
Dan Schmid: Why Did Advisor Resign from Northwestern Mutual?
Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with Equitable Advisors.
Ozzie Ramos: $80K Bond Complaint Against WIS Advisor
Westlake Village, California financial advisor Ozzie Ramos (CRD# 2572345) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities, having previously been registered with Citigroup Global Markets.
Bob Westbrook: Cetera Advisor Faces Suitability Complaint
Scottsdale, Arizona financial advisor Bob Westbrook (CRD# 1189454) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Advisor Networks, as well as a representative of Westbrook Financial Services.
Scott Meador: $1mm Complaint Against UBS Advisor
Naples, Florida financial advisor Scott Meador (CRD# 2202512) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Michael Sandberg: Aegis Advisor Fired by Ameriprise
Boca Raton financial advisor Michael Sandberg (CRD# 1949867) was recently fired by Ameriprise Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Aegis Capital Corporation.
Richard Michalski: Laidlaw Advisor Faces $399K Complaint
New York City financial advisor Richard Michalski (CRD# 4588706) recently received an investor complaint alleging that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Laidlaw & Company, and that he has previously been sanctioned by the Securities and Exchange Commission.
