San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Carlson Law Uncovers Financial Advisor’s Embezzlement Scheme Against Former NFL Player
Miami Beach-based Carlson Law, P.A. recently uncovered a $2.6 million embezzlement scheme perpetrated by a financial advisor at a prominent Wall Street wealth management firm. The advisor misappropriated funds from a former NFL player, using the stolen money to finance a wild and extravagant spending spree. The embezzlement occurred between 2019 and 2022, during… Read More »
Anderson Pointe Investments: Conservation Easement Concerns?
Anderson Pointe Investments is a conservation easement that filed a Form D with the Securities and Exchange Commission to raise funds from investors in 2018. According to the form, the offering totaled $6,909,000, with a minimum investment of $70,500 accepted from outside investors. As it raised funds for the offering, it worked with broker-dealer… Read More »
Jefferies Fires Miami Advisors over “Impermissible” Money Transfers
A team of Miami-based representatives of Jefferies Financial Group were fired in connection with allegations of “impermissible money-transfer wires” and “deleted off-channel business communications,” according to news reports and filings with the Financial Industry Regulatory Authority. The representatives in question are Pablo Gherardi (CRD# 4602689), Guillermo Guerra (CRD# 4907302), Marcelo Poliak (CRD# 2465622), and… Read More »
David Sosa: Structured Products Complaint Against Cetera Advisor
Lake Mary, Florida financial advisor David Sosa (CRD# 2447013) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively, and that he is an employee of Regions… Read More »
Vince Lucchesi: Alden Advisor Resigns from UBS
Red Bank, New Jersey financial advisor Vince Lucchesi (CRD# 1444054) recently resigned from UBS Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group.
Mimi Park: $600K Complaint Against US Bancorp Advisor
Santa Monica, California financial advisor Mimi Park (CRD# 4684111) recently received an investor complaint alleging that she misappropriated funds. Financial Industry Regulatory Authority records show thats he is registered as a broker and an investment advisor with US Bancorp Investments, having previously been registered with LPL Financial.
Kurt Stahl: $1.75 Million Complaint Against Gulf Coast Advisor
Lakewood Ranch, Florida financial advisor Kurt Stahl (CRD# 1890827) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Berthel Fisher & Company broker is registered as an investment advisor with AE Wealth Management. He is also… Read More »
Heidi Chamberlain: Trading Complaint Against Morgan Stanley Advisor
Rutland, Vermont financial advisor Heidi Chamberlain (CRD# 2563489) recently received an investor complaint alleging that she made unauthorized and excessive transactions. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Patrick Crowley: Merrill Lynch Fires Chicago Advisor
Prospect Heights, Illinois financial advisor Patrick Crowley (CRD# 4977791) was recently fired by Merrill Lynch in connection with alleged conduct violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor with Crowley Capital Management.
Daniel Diaz: Phoenix Advisor Faces Suitability Complaint
New York City financial advisor Daniel Diaz (CRD# 6871968) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with PHX Financial, also known as Phoenix Financial, having previously been registered with National Securities Corporation.
