New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Mark Katz: Western International Advisor Lands $358K Complaint
Pasadena, California financial advisor Mark Katz (CRD# 3055019) recently received an investor complaint alleging that he effected unauthorized transactions. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Western International Securities.
Connor Seedall: $329K Complaint Against Former Arete Advisor
A recent investor complaint against Liberty Lake, Washington financial advisor Connor Seedall (CRD# 6418732) alleges that his advice resulted in 6-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with DAI Securities and an investment advisor with DAI Wealth.
Brian Graham: Cetera Advisor Faces $50K Investor Complaint
Plainfield, Illinois financial advisor Brian Graham (CRD# 2581633) allegedly made unauthorized withdrawals, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor registered with Cetera, doing business as Graham Capital Management.
Russell Green: $410K Complaint Against RPG Wealth Advisor
Syosset, New York financial advisor Russell Green (CRD# 1391627) recently received an investor complaint alleging that his conduct resulted in damages of more than $400,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Cabot Lodge Securities and an investment advisor with CL Wealth Management, doing business as… Read More »
Peter Huminski: Fortress Advisor Fired by Blue Jasper Capital
Raleigh, North Carolina financial advisor Peter Huminski (CRD# 4591190) was recently fired from his former member firm in connection with allegations that he improperly took a loan from a client. Financial Industry Regulatory Authority records show that the former Blue Jasper Capital advisor is currently registered as a broker with Fortress Private Ledger.
Robert Gleason: FINRA Suspends Former Cantella & Company Advisor
Former Owensboro, Kentucky financial advisor Robert Gleason (CRD# 1415067) was recently suspended in connection with allegations that he recommended unsuitable transactions. Financial Industry Regulatory Authority records show that he was most recently registered with IFP Securities, having previously been registered with Cantella & Company.
Jason Kurtz: FINRA Bars Former US Bancorp Advisor
Former Denver financial advisor Jason Kurtz (CRD# 4958219) has been sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with US Bancorp Investments and that he has received numerous investor complaints.
Lodging Fund REIT III Settles SEC Charges
In August 2023, the real estate investment trust Lodging Fund REIT III’s CEO and advisor paid more than $4 million to settle charges by the Securities and Exchange Commission (SEC). The CEO, Corey Maple, and the advisor, Legendary Capital REIT III, of which Mr. Maple serves as principal, received a Wells Notice proposing the… Read More »
Kevin Bailey: $500K Complaint Against Charles Schwab Advisor
Phoenix financial advisor Kevin Bailey (CRD# 1490570) recently received an investor complaint alleging that his conduct resulted in damages of $500,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Charles Schwab & Company.
Martin Lerner: FINRA Recommends Sanction Against David Lerner Advisor
Boca Raton financial advisor Martin Lerner (CRD# 871038) is under investigation for allegedly recommending unsuitable Energy 11 and Energy 12 investments and for failing to supervise sales of the same. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates.
