Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without...
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Mike Shatsky: Sky Alpha Advisor Receives $788K Complaint
Boca Raton financial advisor Mike Shatsky (CRD# 2430683) recently received an investor complaint alleging that he misrepresented an investment, resulting in damages exceeding $700,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Oppenheimer & Company broker is currently registered as an investment advisor with Sky Alpha Asset Advisors.
Chad Bridgers: Cabot Lodge Advisor Faces $400K GWG L-Bond Complaint
Fayetteville, Arkansas financial advisor Chad Bridgers (CRD# 2475641) 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 with Cabot Lodge Securities and an investment advisor with CL Wealth Management.
Alex Paredes-Malaga: $750K Complaint Against Merrill Lynch Advisor
A recent investor complaint against Brea, California financial advisor Alex Paredes-Malaga (CRD# 7191576) 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 Merrill Lynch.
Michelle Neuhalfen: Bankers Life Denies $782K Complaint Against Advisor
New Bern, Connecticut financial advisor Michelle Neuhalfen (CRD# 7206531) allegedly made unsuitable investment recommendations, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Bankers Life Securities and an advisor with Bankers Life Advisory Services.
Mike Kilpatrick: 150K Complaint Against Kilpatrick Financial Advisor
Camarillo, California financial advisor Mike Kilpatrick (CRD# 1278618) 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 Kilpatrick Financial Group.
Michael Zidanic: Northland Advisor Fired by Ameriprise
Milwaukee, Wisconsin financial advisor Michael Zidanic (CRD# 2508373) was recently fired by Ameriprise Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with Northland Securities and an investment advisor with Northland Asset Management.
Abelardo Riera: GS Group Advisor Faces Investor Complaint
New York City financial advisor Abelardo Riera (CRD# 2514172) allegedly misrepresented an 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, whose website describes him as founder of The GS Group, a practice within the firm.
Mark Gassoso: $500K Complaint Against Ex-National Securities Advisor
Jersey City financial advisor Mark Gassoso (CRD# 2590007) 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 with B. Riley Wealth Management, having previously been registered with National Securities Corporation.
Rich Gibson: Purshe Kaplan Advisor Faces $2 Million DST Complaint
A recent investor complaint against Long Beach, California financial advisor Rich Gibson (CRD# 5352063) alleges that he recommended unsuitable Delaware Statutory Trust investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Global View Capital Management.
Bron Thompson: CIG Advisor Faces 6-Figure GWG Complaints
Dunn, North Carolina financial advisor Bron Thompson (CRD# 4350479) has received multiple investor complaints relating to investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is registered as a broker with Capital Investment Group and an advisor with Capital Investment Advisory Services.
