Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
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Cash Freeman: RBC Denies $1mm Complaint Against Fort Collins Advisor
RBC Capital Markets financial advisor Cash Freeman (CRD# 6374508) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Fort Collins, Colorado.
Karen Geiger: Former Ohio Advisor Has $1 Million GWG L Bond Complaint
Cape Securities financial advisor Karen Geiger (CRD# 1456604) recently received an investor complaint alleging more than $1 million in damages connected to a GWG L bonds investment. Financial Industry Regulatory Authority records show that she is registered as a broker in McDonough, Georgia, having formerly been registered with Wall Street Securities in Akron, Ohio… Read More »
Scottsdale Advisor Michael Ning: GWG Holdings Complaint
Arque Capital financial advisor Michael Ning (CRD# 3088956) recently received a seven-figure investor complaint concerning investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.
Investor Files Complaint Against Spartan Capital’s Justin Dieter
Garden City, New York financial advisor (CRD# 5225102) has received multiple investor complaints alleging that his investment recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Spartan Capital Securities, having previously affiliated with Allied Millennial Partners and Aegis Capital.
REIT Complaint Against Former Ameriprise Advisor James Cavalier
Former New Brighton, Minnesota financial advisor James Cavalier (CRD# 1579594) recently received an investor complaint alleging misconduct related to REIT and annuity investments. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services broker and investment advisor is not currently registered with any FINRA member firm.
Moloney Securities Advisor Peter Ferraro: Bond Complaint
Manchester, Missouri financial advisor Peter Ferraro (CRD# 2386025) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Moloney Securities and that he has been sanctioned by securities regulators.
Carey James: $66K Complaint Against James Financial Advisor
Arroyo Grande, California financial advisor Carey James (CRD# 1420763) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Centaurus Financial, doing business as James Financial Group.
Peter Ermogenous: Complaint Against Wells Fargo Advisor Settles
Carle Place financial advisor Peter Ermogenous (CRD# 5257901) has received several investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Clearing Services, having previously been registered with Citigroup Global Markets and Capital One Investing.
Michael Desando: FINRA Suspends Red Bank Advisor
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Network 1 Financial Securities advisor Michael Desando (CRD# 1849321). FINRA records show that the Red Bank, New Jersey broker allegedly engaged in excessive and unsuitable trading in a customer’s account and has been suspended for three months.
John Townshend: Regulators Sanctions Tulsa Advisor
Palm Beach Capital Corporation financial advisor John Townshend (CRD# 2784752) was recently sanctioned by state securities regulators in connection with findings of misconduct. Securities and Exchange Commission records show that he is currently registered as an investment advisor in Tulsa, Oklahoma.
