Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without...
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Scott Taubman: Ex-Ameriprise Advisor Suspended over Loans
Former Peoria, Arizona financial advisor Scott Taubman (CRD# 4809824) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services has also received a pending investor complaint and is not currently registered with any broker-dealer firm.
Tracy Longstreet: $1mm-$5mm Complaint Against Ex-UBS Advisor
Former Houston, Texas financial advisor Tracy Longstreet (CRD# 1768525) recently received an investor complaint alleging that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that the former UBS Financial Services representative is not presently registered as a broker or an investment advisor.
Mark Kuttler: Financial Alternatives Advisor Faces REIT Complaint
East Meadow, New York financial advisor Mark Kuttler (CRD# 1425746) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with RNR Securities, doing business as Financial Alternatives.
Hugo Hernandez: MassMutual Advisor Faces Misappropriation Complaint
El Paso, Texas financial advisor Hugo Hernandez (CRD# 6446187) allegedly misappropriated customer 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 MML Investors Services, having previously been registered with NYLife Securities.
Robert De Vita: Ausdal Advisor Lands GWG L-Bond Complaint
Downers Grove, Illinois financial advisor Robert De Vita (CRD# 1865964) recently received an investor complaint alleging that he violated securities laws and industry rules in connection with the sale of GWG L-bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ausdal Financial Partners.
Joseph Storzinger: $400K Complaint Against IBN Advisor
Liverpool, New York financial advisor Joseph Storzinger (CRD# 2554671) recently received an investor complaint alleging that his conduct resulted in $400,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with IBN Financial Services and an investment advisor with IBN Advisory Services.
Larry Ware: Envision Advisor Faces Structured Product Complaint
Recent investor complaints against Graham, North Carolina financial advisor Larry Ware (CRD# 3053841) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Avantax, doing business as Envision Wealth Partners.
Brian Nelson: Primerica Advisor Faces Mutual Fund Complaint
Grand Prairie, Texas financial advisor Brian Nelson (CRD# 5779195) allegedly made an unauthorized withdrawal from a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with PFS Investments, also known as Primerica.
Jordan Awoye: $310K Complaint Against Former Equitable Advisor
New York financial advisor Jordan Awoye (CRD# 6600772) recently received an investor complaint alleging that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Weild & Company and an investment advisor with Awoye Capital.
Brian Beh: FINRA Investigates Frontier Solutions Advisor
Richmond, Virginia financial advisor Brian Beh (CRD# 1500962) is under investigation by financial industry regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is a broker registered with Frontier Solutions and a representative of Beh Investment Partners.
