Former Orlando, Florida financial advisor Sherwin Sargeant (CRD# 5096798) has been barred by FINRA in connection with allegations of undisclosed...
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Martin Walcoe: David Lerner Advisor Faces Energy 11/12 Allegations
Syosset, New York financial advisor Martin Walcoe (CRD# 1593935) is under investigation in connection with allegations of unsuitable sales of Energy 11 and Energy 12, LP. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates.
Ron Kummerer: $315K Complaint Against Merrill Lynch Advisor
Exton, Pennsylvania financial advisor Ron Kummerer (CRD# 4344687) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Jason Young: $1 Million Complaint Against Creative Planning Advisor
Charlotte, North Carolina financial advisor Jason Young (CRD# 4604338) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Securities and Exchange Commission records show that he is currently registered as an investment advisor with Creative Planning, having previously been registered with Mercer Global Advisors.
Alan Katz: Did UBS Advisor Steal Customer’s Funds?
Jericho, New York financial advisor Alan Katz (CRD# 834107) allegedly stole a client’s funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s Boca Raton, Florida office.
Kevin Gutwein: Westpoint Gutwein Advisor Lands $350K Complaint
Indianapolis financial advisor Kevin Gutwein (CRD# 2904262) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services. His website shows that he is a representative of Westpoint Gutwein Group, which offers securities and… Read More »
Jonathan Bourgeois: $4 Million Complaint Against Wells Fargo Advisor
San Diego financial advisor Jonathan Bourgeois (CRD# 5757664) recently received an investor complaint alleging that his conduct resulted in damages exceeding $4 million. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Cindy Beyerlein: FINRA Suspends Former Ameriprise Advisor
Former Lancaster, Pennsylvania financial advisor Cindy Beyerlein (CRD# 4320421) has been suspended in connection with allegations that she violated industry rules. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Kingswood Capital Partners, having previously been registered with Ameriprise Financial Services.
Jeff Conforti: Investor Complaint Against Conforti Financial Advisor
Campbell, California financial advisor Jeff Conforti (CRD# 1624993) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Securities America. His website shows that he is a representative of Conforti Financial, which offers securities and… Read More »
Michelle Stebbins: $305K Complaint Against Stifel Advisor
Southfield, Michigan financial advisor Michelle Stebbins (CRD# 4156378) allegedly failed in her supervisory responsibilities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Brad Bergdahl: Premier Wealth Advisor Faces Investor Complaint
Cando, North Dakota financial advisor Brad Bergdahl (CRD# 1432349) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the Cetera broker and investment advisor is also the owner of Premier Wealth Management Group.
