San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Arthur DeFilippo: $500K Complaint Against Revere Advisor
Boston, Massachusetts financial advisor Arthur DeFilippo (CRD# 1348804) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Revere Securities.
David Milowe: RBC Advisor Faces Mismanagement Complaint
Wellesley Hills, Massachusetts financial advisor David Milowe (CRD# 1387139) recently received an investor complaint alleging mismanagement that resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Ed Fredericks: Equitable Advisor Faces Trading Complaint
Milford, Connecticut financial advisor Ed Fredericks (CRD# 2202730) allegedly made unauthorized and unsuitable trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors.
Peter Wallace: Oppenheimer Advisor Faced Margin Complaint
A recent, denied investor complaint against North Palm Beach, Florida financial advisor Peter Wallace (CRD# 2232489) alleged that he used margin without authorization. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
William Clary: $218K Complaint Against DA Davidson Advisor
A recent investor complaint against Medford, Oregon financial advisor William Clary (CRD# 2300201) alleges that he failed to prevent the potential exploitation of a client. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with DA Davidson & Company.
David Loesch: $179K Complaint Against DRL Group Advisor
Katy, Texas financial advisor David Loesch (CRD# 2380024) allegedly failed to explain the use of margin, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NewEdge Securities and the owner of The DRL Group.
Todd Walker: Arapaho Advisor Lands $200K Bond Complaint
Centennial, Colorado financial advisor Todd Walker (CRD# 2503388) 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 Centaurus Financial, doing business as Arapaho Asset Management.
Ben Schick: Cobalt Advisor Faces $900K iCap
Lake Mary, Florida financial advisor Ben Schick (CRD# 4897243) recently received an investor complaint alleging that he misrepresented and recommended unsuitable investments in iCap. Financial Industry Regulatory Authority records show that he is registered as a broker with Cobalt Capital.
Michael Borgia: FINRA Investigates Pinnacle Advisor
Boca Raton, Florida financial advisor Michael Borgia (CRD# 4393648) has been investigated for alleged violations of securities industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Pinnacle Investments, having previously been registered with Dawson James Securities.
Kendal Cann: $50K Complaint Against Privileged Planning Advisor
Saint Johns, Florida financial advisor Kendal Cann (CRD# 6504618) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James Financial broker is currently registered as an investment advisor with Privileged Planning.
