Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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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.
White River Energy Tax Credits: Investors May Have Recovery Options
Investors who suffered losses on “tribal tax credits” promoted by White River Energy Corp. may have recovery options. Carlson Law is investigating potential claims in connection with these credits. The Internal Revenue Service stated in a recent release that such tax credits “do not exist.” Brokers and broker-dealer firms who recommend them to retail… Read More »
Bob Kromer: RK Retirement Advisor Receives Fraud Complaint
Sun City West, Arizona financial advisor Bob Kromer (CRD# 1448765) recently received an investor complaint that alleged fraud and reached a six-figure settlement. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Securities America broker is currently registered as an investment advisor with RK Retirement Solutions.
David Farber: SEC Investigates Broad Street Advisor
Maitland, Florida financial advisor David Farber (CRD# 3181573) has been named in an investigation by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is registered as a broker with Broad Street Capital Markets.
