Did you suffer financial losses investing in the Easterly ROCMuni High Income Municipal Bond Fund? If you held positions in...
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Michael Pineda: $105K Complaint Against LifeMark Advisor
Denver, Colorado financial advisor Michael Pineda (CRD# 2337780) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LifeMark Securities.
Melvin Feldman: $580K Complaint Against GMS Advisor
Jersey City, New Jersey financial advisor Melvin Feldman (CRD# 205924) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The GMS Group.
Edwin Brant Frost IV & First Liberty: Ponzi Scheme Allegations
First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which they defrauded hundreds of investors of at least $140 million in funds, according to charges filed by the Securities and Exchange Commission in July 2025.
Spartan Capital Securities: FINRA Files Fraud Allegations
Spartan Capital Securities (CRD# 146251) allegedly engaged in a years-long fraud in which it “defrauded customers by engaging in widespread churning, generating millions in revenue and causing customers millions in harm,” according to a complaint filed by the Financial Industry Regulatory Authority. In addition to the firm, the enforcement action also names as respondents… Read More »
Keith D’Agostino: Ex-Aegis Advisor Suspended over Microcap Sales
Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with allegedly improper investment recommendations. Financial Industry Regulatory Authority records show that he was most recently registered with EF Hutton and Aegis Capital.
Ray DeWitt: Realta Advisor Faces Investor Complaint
Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with both Realta Investment Advisors and Transce3nd, doing business as 1031 DST Group.
David Kangas: $1.25mm Complaint Against Cornerstone Advisor
Richmond, Virginia financial advisor David Kangas (CRD# 6591398) 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 WealthForge Securities, doing business as Cornerstone Real Estate Investment Services.
Steven Kibbel: Why Did LPL Fire Shorebreak Advisor?
Nashville, Tennessee financial advisor Steven Kibbel (CRD# 6800914) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Shorebreak Capital.
Anne Davidson: Investor Complaint Against Wells Fargo Advisor
A recent investor complaint against Dallas, Texas financial advisor Anne Davidson (CRD# 728189) alleges that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
John Pucci: Suitability Complaint Against Craft Capital Advisor
Houston, Texas financial advisor John Pucci (CRD# 6120523) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Craft Capital Management, having previously been registered with Aegis Capital.
