Lake Oswego, Oregon financial advisors Paul McIntyre (CRD# 1002368) and Al Dinicola (CRD# 1305518) allegedly recommended unsuitable transactions, according to...
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Ronan Cox: Ex-Morgan Stanley Advisor Received Complaint
New York City financial advisor Ronan Cox (CRD# 2693480) allegedly recommended an unsuitable investment, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Arete Wealth Management and an investment advisor with Arete Wealth Advisors, doing business as Fincadia.
Michael Barrows: $250K GWG Complaint Against Ex-Chalice Advisor
A recent investor complaint against Charlotte, North Carolina financial advisor Michael Barrows (CRD# 2933260) alleged that he recommended unsuitable GWG L Bond investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and an investment advisor with IP Financial Advisory Services.
Jim Groves: $1.5mm Complaint Against Raleigh Capital Advisor
Cary, North Carolina financial advisor Jim Groves (CRD# 1657245) recently received an investor complaint alleging that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former PNC Investments broker is currently registered as an investment advisor with Raleigh Capital Management, doing business… Read More »
Scott Offerman: Ex-TCFG Advisor Faces 7-Figure Complaint
New York City financial advisor Scott Offerman (CRD# 4619093) allegedly recommended unsuitable Delaware Statutory Trust (DST) investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with 1031 Securities, doing business as 1031 Financial.
Allen Stevens: Stifel Advisor Received $200K Complaint
A recent, denied investor complaint against Denver, Colorado financial advisor Allen Stevens (CRD# 1804469) alleged that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Alex Rabinovich: $3mm Complaint Against Forge Securities Advisor
A recent investor complaint against San Francisco, California financial advisor Alex Rabinovich (CRD# 7065371) alleges that his investment advice resulted in damages of more than $3 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Forge Securities.
Bob Anderson: $2.4mm Complaint Against Penbrook Advisor
New York City financial advisor Bob Anderson (CRD# 5516) recently received an investor complaint alleging that his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Beech Hill Securities and an investment advisor with Penbrook Management.
Roger Ingwerson: $565K Complaint Against Ex-Harvest Group Advisor
Waltham, Massachusetts financial advisor Roger Ingwerson (CRD# 255050) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
Nicolas Longpre: $750K Complaint Against Wealth Trading Advisor
A recent investor complaint against Honolulu financial advisor Nicolas Longpre (CRD# 4791561) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as Wealth Trading Partners.
Michael Siek: Suitability Complaint Against Ex-Aegis Advisor
Recent investor complaints against New York City financial advisor Michael Siek (CRD# 2072767) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, having previously been registered with Aegis Capital.
