Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without...
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Wilson Kwok: $600K Complaint Against Wells Fargo Advisor
Daly City, California financial advisor Wilson Kwok (CRD# 5083791) recently received an investor complaint alleging 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 Wells Fargo Clearing Services.
Christopher Lundmark: Ameriprise Fires Independence Square Advisor
King of Prussia, Pennsylvania financial advisor Christopher Lundmark (CRD# 3022544) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Ameriprise Financial Services broker is currently registered as an investment advisor with Independence Square Holdings.
Michael Grady: $1.4mm GWG Complaint Against American Trust Advisor
Lisle, Illinois financial advisor Michael Grady (CRD# 1392784) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with American Trust Investment Services and an advisor with Asset Strategies, American Trust Investment Services Advisory, and Chicago Capital Management… Read More »
Tracey Smith: Ameriprise Advisor Faces RiverSource Annuity Complaint
Mt. Lebanon, Pennsylvania financial advisor Tracey Smith (CRD# 2668443) allegedly misrepresented a variable annuity investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.
Mark Grueninger: $1.8mm Complaint Against UBS Advisor
A recent investor complaint against Beverly Hills financial advisor Mark Grueninger (CRD# 3031348) alleges that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Anthony Martinelli & Joe Hirthler: LPL Advisors Face $3mm Complaint
Pennsylvania financial advisors Anthony Martinelli (CRD# 2590758) and Joe Hirthler (CRD# 1370229) recently received an investor complaint alleging that their conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that each is registered as a broker with LPL Financial and an investment advisor with Jacobi Capital Management.
Bryce Hamilton: LPL Advisor Discloses $300K Complaint
San Diego, California financial advisor Bryce Hamilton (CRD# 4296113) 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 LPL Financial, doing business as Highly Appreciated Capital.
Hemant Kathuria: $100K-$200K Complaint Against AGP Advisor
Newport Beach, California financial advisor Hemant Kathuria (CRD# 5380092) recently received an investor complaint alleging that a GWG L-bond investment resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Alliance Global Partners, or AGP.
Marcial Vargas: Ameriprise Advisor Faces $600K Complaint
Redwood City, California financial advisor Marcial Vargas (CRD# 5953263) 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 Ameriprise Financial Services.
Barry Calabar: SEC Investigating PHX Financial Advisor
Fort Lauderdale, Florida advisor Barry Calabar (CRD# 4749342) is under investigation by the US Securities and Exchange Commission in connection with alleged securities law violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with PHX Financial, and that he has received several investor complaints.
