Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
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San Francisco Advisor Bill Conn Has Mismanagement Complaint
International Assets Advisory financial advisor Bill Conn (CRD# 1477107) has received an investor complaint that settled for more than $500,000 and was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor in San Francisco,… Read More »
Coast Capital Advisor Linda Wimsatt: L Bond Complaint
Carlsbad, California financial advisor Linda Wimsatt (CRD# 1401802) is the recipient of complaints regarding investments in GWG L bonds. Financial Industry Regulatory Authority records show that she is a broker with American Trust Investment Services and an investment advisor with Chicago Wealth Management Advisors, doing business as Coast Capital Wealth Management.
Crypto Complaints Against Oldsmar’s Carlos Cortez Reach Settlements
Numerous investor complaints against former Clearwater, Florida financial advisor Carlos Cortez (CRD# 5378014) allege he recommended investments in a fraudulent cryptocurrency scheme. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former World Equity Group broker is currently an investment advisor with Cortez Wealth Group in Oldsmar, Florida.
David Bulow: GWG L Bond Complaint Against NI Advisors Broker
A recent investor complaint against Milpitas, California financial advisor David Bulow (CRD# 5834367) alleges various forms of misconduct relating to the sale of GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with NI Advisors.
Doug Gow: GWG Complaint Against Ex-Capital Investment Group Advisor
A recent investor complaint against Rome, Georgia financial advisor Doug Gow (CRD# 709653) alleges misconduct relating to an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, having previously been registered with Capital Investment Group.
Thais Piotrowski: $150K Complaint Against Boca Raton Advisor
Ameriprise Financial Services advisor Thais Piotrowski (CRD# 4729077) allegedly recommended unsuitable investments, according to a recent investor complaint against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Boca Raton, Florida.
Steven Standley: $190K GWG L Bond Complaint Against Brentwood Advisor
A recent investor complaint against DH Hill Securities financial advisor Steven Standley (CRD# 4282051) alleges six-figure losses stemming from an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Brentwood, Tennessee.
Stephen Marek: $112K Complaint Against American Pride Advisor
Uniondale, New York financial advisor Stephen Marek (CRD# 2458841) recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Joseph Gunnar & Company, doing business as American Pride Wealth Management.
Wayne Hill: Strategic Asset Management Advisor Has $277K GWG Complaint
A recent investor complaint against Lane, South Carolina financial advisor Wayne Hill (CRD# 1692976) details allegations regarding investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Capital Investment Group, doing business as Strategic Asset Management Consultants.
Bernie Adair: Investor Alleges Jupiter Advisor Misappropriated Funds
Merrill Lynch financial advisor Bernie Adair (CRD# 1535429) allegedly misappropriated investor funds, according to a recent complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Jupiter, Florida.
