Delano, Minnesota financial advisor Brent Schmidt (CRD# 3093473) allegedly permitted a business partner to falsify customer records, according to a...
Read MoreRecent Blog Posts
EcoVest Capital Settles Conservation Easement Fraud Allegations
In March 2023 the conservation easement sponsor EcoVest Capital reached a settlement with the US Department of Justice in connection with federal allegations of fraud and other forms of misconduct. According to a report by The DI Wire, the settlement agreement includes an indefinite prohibition from “future involvement in the sale or promotion of… Read More »
Jim Vukovich: PNC Advisor Faces $300K Complaint
A recent investor complaint against Grand Terrace, California financial advisor Jim Vukovich (CRD# 4842997) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with PNC Investments.
Brett Straub: $300K Complaint Against Straub Group Advisor
Haddon Heights, New Jersey financial advisor Brett Straub (CRD# 2118331) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Osaic Wealth and an investment advisor with AmeriFlex Group. He is also a representative of The Straub Group.
Tom Hartfield: $400K Complaint Against Hartfield Financial Advisor
Granada Hills, California financial advisor Tom Hartfield (CRD# 4664847) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Western International Securities broker is currently registered as an investment advisor with Hartfield Financial & Insurance Services.
Bill Young: Ex-Kingswood Capital Advisor Faces GWG Complaint
Rockville, Maryland financial advisor Bill Young (CRD# 4787488) recently received an investor complaint alleging that he misrepresented an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Bo Anderson: $50K Oil & Gas Complaint Against Ex-ProEquities Advisor
West Des Moines, Iowa financial advisor Bo Anderson (CRD# 5340479) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Avantax Investment Services broker is currently registered as an investment advisor with Mariner Wealth.
Tim Van Dyken: Ameriprise Advisor Faces State Regulatory Action
Mt. Vernon, Washington financial advisor Tim Van Dyken (CRD# 5918814) was recently named in a regulatory action by the State of Washington Securities Division. Financial Industry Regulatory Authority records show that the former Edward Jones representative is currently registered as a broker and an investment advisor with Ameriprise Financial Services.
Ryan Caldwell: Why Did Morgan Stanley Fire AIML Trading Advisor?
Cold Spring Harbor, New York financial advisor Ryan Caldwell (CRD# 6642132) recently received an investor complaint alleging that he executed unauthorized trades. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is registered as an investment advisor with AIML Trading Partners.
Eric Felsenfeld: Ameriprise Advisor Faces GWG Complaint
Rockville, Maryland financial advisor Eric Felsenfeld (CRD# 4496689) recently received an investor complaint alleging that he misrepresented an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Kingswood Capital Partners.
Cathy Wu: REIT Complaint Against Cetera Advisor
Arcadia, California financial advisor Cathy Wu (CRD# 4924232) allegedly misrepresented real estate investment trusts, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Cetera Investment Services and an advisor with Cetera Investment Advisers.
