San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Scott Jackson: $100K Complaint Against JW Cole/KASE Advisor
Tampa, Florida financial advisor Scott Jackson (CRD# 4443921) allegedly misrepresented investments, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JW Cole, and that he is a representative of KASE Wealth Advisors.
Mark Connolly, Donna Bromfield-Day & Amanda Sosa: $964K Complaint
Fort Worth, Texas financial advisors Mark Connolly (CRD# 4443644), Donna Bromfield-Day (CRD# 5480459), and Amanda Sosa (CRD# 5526300) recently received an investor complaint alleging unauthorized trades. Financial Industry Regulatory Authority records show that they are each registered as a broker and an investment advisor with Wells Fargo.
Carlson Law Investigating Failed Marijuana Deal Nature’s Wonder
Carlson Law, P.A. is investigating a failed investment in a marijuana business, ACP Investments, LLC believed to be doing business as Nature’s Wonder, which raised money from investors through ATX Global Co-Invest Wellness Consolidation, LP. It appears money was raised for the deal by Prime Capital Financial and ATX Venture Partners, including investment advisor Matt Nelson. Carlson Law… Read More »
Brett Vetensky: $100K Complaint Against Janney Advisor
Garden City, New York financial advisor Brett Vetensky (CRD# 4143000) made unauthorized 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 Janney Montgomery Scott, having previously been registered with Wells Fargo Clearing Services.
Joanna Wang: $495K REIT Complaint Against LPL Advisor
LPL Financial advisor Joanna Wang (CRD# 4056171) recently received an investor complaint alleging various forms of misconduct in connection with the sales of non-traded real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that she was previously registered with Prudential Investments, which recently integrated with LPL, in Lake Barrington, Illinois.
Brian Gardiner: $210K Complaint Against Ex-Cabot Lodge Advisor
A recent investor complaint against Westminster, Maryland financial advisor Brian Gardiner (CRD# 3268932) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Jennifer Kim: $245K Complaint Against SEIA Advisor
Los Angeles, California financial advisor Jennifer Kim (CRD# 2322771) recently received an investor complaint that settled for a six-figure sum. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Signature Estate Securities and Signature Estate & Investment Advisors (SEIA), respectively.
Joe Lauzon: $538K Complaint Against LPL Advisor
Clovis, California financial advisor Joe Lauzon (CRD# 2773510) recently received an investor complaint alleging that his conduct resulted in damages exceeding $500,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial.
Scott Grove: MassMutual Advisor Faces Investor Complaint
Newport Beach, California financial advisor Scott Grove (CRD# 2813738) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Matt Nelson: Complaint Against Ex-Cambridge Advisor Settled for $330K
Boeme, Texas financial advisor Matt Nelson (CRD# 4050793) allegedly misrepresented an alternative investment, according to an investor dispute that reached a six-figure settlement. Securities and Exchange Commission records show that he is registered as an investment advisor with Prime Capital Financial.
