Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without...
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Felipe Colón: $500K Complaint Against Belpointe, Ex-LPL Advisor
Sarasota, Florida financial advisor Felipe Colón (CRD# 5462167) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently an investment advisor with Belpointe Asset Management and a partner at Sanderling Partners.
Donald Peabody: Kalyx Advisor Discloses $500K Complaint
A recent investor complaint against Coos Bay, Oregon financial advisor Donald Peabody (CRD# 2175218) alleges that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is a representative of Kalyx Capital Management.
Brian Nelson: $500K Complaint Against Emerson/Versity Advisor
Multiple investor complaints allege that Mission Viejo, California financial advisor Brian Nelson (CRD# 5065593) violated securities industry rules and regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, and that he is the president of Versity Investments, formerly known as NB Private Capital.
Scott Thole: Complaint Against Merrill Advisor Settles for $209K
Saint Paul, Minnesota financial advisor Scott Thole (CRD# 4516390) allegedly misrepresented an options 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 Merrill Lynch.
Reed Smith: Did Merrill Lynch Advisor Misappropriate Funds?
A recent investor complaint against Houston, Texas financial advisor Reed Smith (CRD# 2708938) alleges that he misappropriated customer funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Aaron Graham: AG Financial Advisor Discloses $1.95mm Settlement
Salt Lake City financial advisor Aaron Graham (CRD# 3167246) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with United Planners’ Financial Services and an investment advisor with AG Financial.
Andrew LaForce: $138K Complaint Against Northwestern Advisor
Fort Myers, Florida financial advisor Andrew LaForce (CRD# 5785709) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.
Dan Meader: Trinity Denies $400K Complaint Against Advisor
A recent, denied investor complaint against Southlake, Texas financial advisor Dan Meader (CRD# 4789581) alleged that his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities and an investment advisor with Trinity Investors.
Maximilian Kort: Arete, Ex-UBS Advisor Faces $1mm Complaint
Chicago financial advisor Maximilian Kort (CRD# 5376727) recently received an investor complaint alleging that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former UBS Financial Services broker is currently registered as an investment advisor with Arete Wealth Advisors.
Renee Cohen: BlackLines Advisor Resigned from Northwestern
Los Angeles financial advisor Renee Cohen (CRD# 6447089) recently resigned from Northwestern Mutual Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records that while she is no longer registered as a broker, she is registered as an investment advisor with BlackLines Financial.
