New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Cindy Ghattas: $1mm Complaint Against Creative Planning Advisor
Charlotte, North Carolina financial advisor Cindy Ghattas (CRD# 5342109) recently received an investor complaint alleging that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Waddell & Reed broker is currently registered as an investment advisor with Creative Planning.
Piers Cornelius, Hamid Derbani, Raphael Correa, Tim Hawkins: JP Morgan Advisors Face Complaint
San Francisco financial advisors Piers Cornelius (CRD# 4212172), Tim Hawkins (CRD# 5800637), Hamid Derbani (CRD# 6899972), and Raphael Correa (CRD# 7453023) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that each is currently registered as a broker and an investment advisor with JP Morgan Securities.
Lifetrade Investors Alleged Fraud by S&P, Wells Fargo
A group of investors launched a class action lawsuit against defendants including the Standard & Poor’s Global and Wells Fargo Bank, according to a 2017 Reuters report, alleging negligence and misconduct in connection with the “failed life-settlement fund” Lifetrade. As the report states, Lifetrade was a Curacao-based entity that suffered losses of “at least… Read More »
Prodigy Networks: Investors Allege Fraud by Crowdfunding Platform
The real estate crowdfunding platform Prodigy Network has reportedly filed for bankruptcy in 2021 amidst a flood of lawsuits from its investors. According to The Real Deal, Prodigy Networks and “10 affiliated companies” filed for Chapter 7 bankruptcy, with court filings describing “$102.4 million in assets and $6.4 million in liabilities.”
Trey Trapp: Mutual Fund Complaint Against Ex-Edward Jones Advisor
Atlanta financial advisor Trey Trapp (CRD# 6177720) allegedly lied to a customer about his investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Edward Jones broker, previously based in Belden, Mississippi, is currently registered as an investment advisor with San Blas Securities.
Trevin Kent: Central Coast Advisor Faces $230K Complaint
A recent investor complaint against Monterey, California financial advisor Trevin Kent (CRD# 6096717) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the former Centaurus Financial broker is currently registered as an investment advisor with ThePartners Wealth Management, doing business as Central Coast Financial Management.
Bart Cutino: $230K Bond Complaint Against Central Coast Advisor
Monterey, California financial advisor Bart Cutino (CRD# 5397147) recently received an investor complaint alleging that he provided unsuitable advice. Financial Industry Regulatory Authority records show that the former Centaurus Financial broker is currently registered as an investment advisor with ThePartners Wealth Management, doing business as Central Coast Financial Management.
Chris Conover: SEC Sanctions Hudson Companies Advisor
Pearl River, New York financial advisor Chris Conover (CRD# 2919616) has been sanctioned by the Securities and Exchange Commission (SEC) in connection with allegations that he failed to disclose conflicts of industry. Financial Industry Regulatory Authority and SEC records show that he is currently registered as an investment advisor with Hudson Companies.
Brad Whalen: $235K Complaint Against Green Vista Advisor
Winter Park, Florida financial advisor Brad Whalen (CRD# 2582276) allegedly violated state and federal securities laws, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Green Vista Capital, having previously been registered with The Strategic Financial Alliance.
Matthew Leisman: $45K Bond Complaint Against Westport Advisor
Kansas City, Missouri financial advisor Matthew Leisman (CRD# 2113061) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities, doing business as Westport Advisory Group.
