Former Pittsburgh, Pennsylvania financial advisor Ceondre Colvin (CRD# 7329753) was recently sanctioned by FINRA in connection with alleged rule violations....
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Jason Kurtz: FINRA Bars Former US Bancorp Advisor
Former Denver financial advisor Jason Kurtz (CRD# 4958219) has been sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with US Bancorp Investments and that he has received numerous investor complaints.
Lodging Fund REIT III Settles SEC Charges
In August 2023, the real estate investment trust Lodging Fund REIT III’s CEO and advisor paid more than $4 million to settle charges by the Securities and Exchange Commission (SEC). The CEO, Corey Maple, and the advisor, Legendary Capital REIT III, of which Mr. Maple serves as principal, received a Wells Notice proposing the… Read More »
Kevin Bailey: $500K Complaint Against Charles Schwab Advisor
Phoenix financial advisor Kevin Bailey (CRD# 1490570) recently received an investor complaint alleging that his conduct resulted in damages of $500,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Charles Schwab & Company.
Martin Lerner: FINRA Recommends Sanction Against David Lerner Advisor
Boca Raton financial advisor Martin Lerner (CRD# 871038) is under investigation for allegedly recommending unsuitable Energy 11 and Energy 12 investments and for failing to supervise sales of the same. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates.
John Engler: FINRA Bars Ex-Ameriprise Advisor; $320K Complaint
Former Martinez, Georgia financial advisor John Engler (CRD# 835827) has been barred from associating with any broker-dealer firm. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Ameriprise Financial Services, and that he recently received an investor complaint.
Thom MacDonnell: Jamestown Advisor Faces Suitability Complaint
A recent investor complaint against Williamsburg, Virginia financial advisor Thom MacDonnell (CRD# 1924888) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that the Centaurus Financial broker and investment advisor is also a representative of Jamestown Financial Group.
Rita Mansour: $150K Complaint Against McDonald Partners Advisor
Toledo, Ohio financial advisor Rita Mansour (CRD# 1968418) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with McDonald Partners.
John Freiburger: Suitability Complaint Against Partners Wealth Advisor
Naperville, Illinois financial advisor John Freiburger (CRD# 2163773) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Kestra Investment Services and an advisor with Kestra Advisory Services, doing business as Partners Wealth Management.
David Kaiser: Financial Planning Advisor Lands Investor Complaint
Cotopaxi, Colorado financial advisor David Kaiser (CRD# 2461995) recently received an investor complaint alleging that his recommendations deprived his customers of the ability to make reasonable returns. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, as well as a representative of Financial Planning… Read More »
Brad Fath: Oil & Gas Complaint Against Cambridge Advisor
Big Rapids, Michigan financial advisor Brad Fath (CRD# 2632194) allegedly recommended an investment for the purpose of generating high commissions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, as well as a representative of Lerner, Csernai and… Read More »
