Former MML Investors Services representative Trevor Uhls (CRD# 6872250) has been sanctioned and barred by the Financial Industry Regulatory Authority...
Read MoreAuthor Archives: chase@carlson-law.com
Joshua Belcher: Why Was Edward Jones Broker Fired?
Colwich, Kansas financial advisor Joshua Belcher (CRD# 6106238) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as an investment advisor with Convergence Financial.
Pacific Oak Strategic Opportunity REIT: Investors May Have Options
Investors who experienced losses on investments in the Pacific Oak Strategic Opportunity real estate investment trust may have recovery options. A recent article in AltsWire notes that the REIT, formerly known as KBS Strategic Opportunity REIT, “is moving toward liquidation following a period of significant financial distress and ongoing negotiations with Israeli bondholders.”
Mohammed Karim: FINRA Bars Former Truist Advisor
Former Lakeland, Florida financial advisor Mohammed Karim (CRD# 4419277) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Truist Investment Services.
Mike Gestone: $1mm Complaint Against Greenbird Capital Advisor
A recent investor complaint against Boca Raton, Florida financial advisor Mike Gestone (CRD# 5984302) alleges seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Greenbird Capital, having previously been registered with National Securities Corporation.
Steven Goethel: Misrepresentation Complaint Against Merrill Advisor
Jupiter, Florida financial advisor Steven Goethel (CRD# 5861475) allegedly made material misrepresentations about investments he recommended, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Mark Yadron: $200K Complaint Against Kestra Advisor
Prescott, Arizona financial advisor Mark Yadron (CRD# 1520648) recently received an investor complaint alleging 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 Kestra Investment Services, doing business as American Wealth Management.
Andy Martz: $50K Bond Complaint Against LPL Advisor
Southlake, Texas financial advisor Andy Martz (CRD# 5118326) allegedly recommended an investment that was not in his client’s best interest, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as WIS Advisors.
Craig Fernsler: McDermott Advisor Lands $300K DST Complaint
Naples, Florida financial advisor Craig Fernsler (CRD# 5558907) recently received an investor complaint alleging that a Delaware Statutory Trust investment resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
Andrew Spaventa: SEC Investigates TSG Advisor
Ronkonkoma, New York financial advisor Andrew Spaventa (CRD# 6175466) is under investigation by the Securities and Exchange Commission for alleged misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with TSG Capital Advisors and an investment advisor with TSG Alpha Partners.
Troy Thomas: $400K DST Complaint Against McDermott Advisor
A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
