San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Richard Kubiak: $6mm Complaint Against Ameriprise Advisor
Cheektowaga, New York financial advisor Richard Kubiak (CRD# 2856073) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Ted Boutis: Ameriprise Advisor Received $1mm Complaint
Melville, New York financial advisor Ted Boutis (CRD# 2951760) misrepresented variable annuity investments, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Carlson Law Investigating Tom Liu of Morgan Stanley
Carlson Law is investigating Irvine, California, Morgan Stanley broker Tom Liu (CRD# 6834194). We have been retained by a client of Liu who suffered substantial losses after Liu engaged in high-risk options trading, including selling naked put options on Tesla, Alphabet (Google), Palantir, Amazon, and Meta (Facebook). We plan on filing a claim against… Read More »
Luigi Mazza: Oppenheimer Advisor Landed $139K Complaint
A recent, denied investor complaint against Coral Gables, Florida financial advisor Luigi Mazza (CRD# 3025837) alleged 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 Oppenheimer & Company.
Daniel Loy: Suitability Complaint Against LTK Wealth Advisor
Milpitas, California financial advisor Daniel Loy (CRD# 3029654) 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 and an investment advisor with Independent Financial Group, doing business as LTK Wealth Management.
Tony Gallea & Helen Rothlein: Morgan Stanley Advisors Face $429K Claim
Morgan Stanley financial advisors Tony Gallea (CRD# 713980) and Helen Rothlein (CRD# 709040) recently received an investor complaint alleging that their conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that Mr. Gallea is based in Hendersonville, North Carolina and Palm Coast, Florida, while Ms. Rothlein is based in New York City… Read More »
Seiichi Shinomiya: Why Did Western International Fire Advisor?
Port Washington, New York financial advisor Seiichi Shinomiya (CRD# 1752347) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Western International Securities broker is registered as an investment advisor with Dorado Wealth Management.
Fariba Ronnasi: Ex-Elite Wealth Advisor Faced Complaints, Theft Charge
Former Kirkland, Washington financial advisor Fariba Ronnasi (CRD# 4135998) has been charged with one count of felony theft in the first degree in King County, Washington. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that she was most recently registered as an investment advisor with Elite Wealth Management, while her website… Read More »
Franklin Lentz: Why Did JW Cole Advisor Resign?
Gainesville, Florida financial advisor Franklin Lentz (CRD# 1517542) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former JW Cole Financial broker is registered as an investment advisor with Lentz Advisors.
Jeffrey Fishman: B. Riley Advisor Faced $100K Complaint
A recent, denied investor complaint against Tampa, Florida financial advisor Jeffrey Fishman (CRD# 1021795) alleged that he recommended an unsuitable investment. 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 and Winslow Evans & Crocker.
