Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Maximilian Kort: Arete, Ex-UBS Advisor Faces $1mm Complaint
Chicago financial advisor Maximilian Kort (CRD# 5376727) recently received an investor complaint alleging that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former UBS Financial Services broker is currently registered as an investment advisor with Arete Wealth Advisors.
Renee Cohen: BlackLines Advisor Resigned from Northwestern
Los Angeles financial advisor Renee Cohen (CRD# 6447089) recently resigned from Northwestern Mutual Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records that while she is no longer registered as a broker, she is registered as an investment advisor with BlackLines Financial.
Abtin Bashirazami: $241K Complaint Against TransAmerica Advisor
Columbus, Ohio financial advisor Abtin Bashirazami (CRD# 7526170) recently received an investor complaint alleging that his conduct resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker with TransAmerica Financial Advisors.
Brian Davis: Why Was UBS Advisor Fired from Morgan Stanley?
Greenville, Delaware financial advisor Brian Davis (CRD# 1269412) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, having previously been registered with Morgan Stanley.
Gene King: Easement Complaint Against Ex-Sequence Advisor
Mt. Pleasant, South Carolina financial advisor Gene King (CRD# 1542794) recently received an investor complaint alleging misconduct in connection with a conservation easement investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Exemplar Capital.
Tom Baer: $135K Complaint Against TBaer Wealth Advisor
Erie, Pennsylvania financial advisor Tom Baer (CRD# 1663820) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, as well as a representative of TBaer Wealth Management.
David Lerner: FINRA Suspends Madison Global Advisor
Hauppage, New York financial advisor David Lerner (CRD# 1883553) was recently suspended in connection with allegations that he improperly used a personal email account for securities-related communications. Financial Industry Regulatory Authority records show that he is registered as a broker with Madison Global Partners, having previously been registered with Network 1 Financial Securities.
Stan Crisci: RBC Advisor Lands $100K Complaint
A recent investor complaint against Indianapolis financial advisor Stan Crisci (CRD# 2687393) 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 RBC Capital Markets, whose website describes him as a member of the Crisci Stine Walters Investment… Read More »
Mike Hoye: $280K GWG Complaint Against Ausdal Advisor
Schaumburg, Illinois financial advisor Mike Hoye (CRD# 3029864) recently received an investor complaint alleging 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 Ausdal Financial Partners.
Norman Meyer: Vestech Advisor Receives $650K Complaint
St. Louis financial advisor Norman Meyer (CRD# 3185642) allegedly recommended unsuitable REITs and annuities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NI Advisors and Vestech Securities, as well as an investment advisor with Vestech Asset Management. He is the president of… Read More »
