Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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Jim Gambaccini: Negligence Complaint Against Republic Capital Advisor
A recent investor complaint against Reston, Virginia financial advisor Jim Gambaccini (CRD# 4619759) alleges that he failed to uphold one of his primary duties as an investment professional. Financial Industry Regulatory Authority records show that he is registered as a broker with Republic Capital Group and an investment advisor with Acorn Financial Advisory Services.
William Burke: REIT Complaint Against Trinity Advisor
Southlake, Texas financial advisor William Burke (CRD# 5499442) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities, which is affiliated with Trinity Investors.
Michael Fisher: Ex-Ameriprise Advisor Lands $1mm Complaint
Melville, New York financial advisor Michael Fisher (CRD# 4056114) recently received an investor complaint alleging that his advice and trading activity resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he was last registered as a broker with Ameriprise Financial Services.
Dan Bucevski: Morgan Stanley Advisor Faces $580K Complaint
A recent investor complaint against Miami, Florida financial advisor Dan Bucevski (CRD# 5702545) alleges that his recommendation of an unapproved investment resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Bob Thompson: FINRA Bars Former ON Equity Sales Advisor
Former Houston, Texas financial advisor Bob Thompson (CRD# 713539) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was previously registered as a broker with The ON Equity Sales Company and an investment advisor with ON Investment Management.
Rick Rappaport: Westpark Capital Advisor Lands $2.5mm Complaint
A recent investor complaint against Los Angeles, California financial advisor Rick Rappaport (CRD# 1885122) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with WestPark Capital.
Wendy Kretschmer: $2.5mm Complaint Against American Trust Advisor
A recent investor complaint against Boca Raton, Florida financial advisor Wendy Kretschmer (CRD# 3111589) alleges that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with American Trust Investment Services and an investment advisor with Star Wealth Advisors.
Andrew Greaves: $15mm Complaint Against Fidelity Advisor
Salt Lake City, Utah financial advisor Andrew Greaves (CRD# 6037600) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Fidelity Brokerage Services and an investment advisor with Strategic Advisers.
Chase Ravsten: Vistia Capital Advisor Faces $118K Complaint
A recent investor complaint against Lone Tree, Colorado financial advisor Chase Ravsten (CRD# 5634077) alleges that he misrepresented and recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Vistia Capital, having previously been registered with Patrick Capital Markets.
Savannah Shoals Conservation Easement: Recovery Options For Investors
Investors who suffered losses in the Savannah Shoals conservation easement may have recovery options. Carlson Law is investigating potential claims in connection with the investment, a syndicated conservation easement whose $23 million tax deduction has been rejected by the IRS, the US Tax Court, and a federal appeals court.
