Former Pittsburgh, Pennsylvania financial advisor Ceondre Colvin (CRD# 7329753) was recently sanctioned by FINRA in connection with alleged rule violations....
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Lucy Cueller: Suitability Complaint Against Northpoint Advisor
Warrenville, Illinois financial advisor Lucy Cueller (CRD# 3089802) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Osaic Wealth, doing business as Northpoint Financial Group.
Paul Trimber: FINRA Bars Ex-Wells Fargo Advisor
Former Alexandria, Virginia financial advisor Paul Trimber (CRD# 2765260) has been sanctioned and barred in connection with allegations that he executed unauthorized transfers of client funds. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Wells Fargo Clearing Services.
Craig Nomberg: $500K SOAEX Complaint Against Ex-David Lerner Advisor
A recent investor complaint against Boca Raton, Florida financial advisor Craig Nomberg (CRD# 4293515) alleges that he recommended an unsuitable investment in SOAEX. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services, having previously been registered with David Lerner Associates.
Mike DePaul: Newport Wealth Advisor Receives 6-Figure Complaint
Newport Beach financial advisor Mike DePaul (CRD# 4540570) recently received an investor complaint alleging that his advice led to six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Centaurus Financial and an investment advisor with Newport Wealth Advisors.
Stevan Hoffman: Oil & Gas Complaint Against Cambridge Advisor
Danville, California financial advisor Stevan Hoffman (CRD# 4552883) 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 and an investment advisor with Cambridge Investment Research.
Mark Bloom: Legacy Capital Advisor Faces $100K Complaint
A recent investor complaint against Atlanta, Georgia financial advisor Mark Bloom (CRD# 6933619) alleges that his conduct led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services, doing business as Legacy Capital Advisors.
Jason Mitsuda: $499K Complaint Against Former Equitable Advisor
Honolulu financial advisor Jason Mitsuda (CRD# 6718373) 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 with Pruco Securities and an investment advisor with Prudential Securities, having previously been registered with Ameriprise Financial Services and Equitable Advisors.
Bob Rebussini: Integrated Financial Advisor Faces $150K Complaint
Cranston, Rhode Island financial advisor Bob Rebussini (CRD# 1622141) has received multiple investor complaints alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Integrated Wealth Concepts, doing business as Integrated Financial Partners.
iCap Equity Described as “Ponzi Scheme”
There is “overwhelming evidence” that iCap Equity was operating a Ponzi-scheme, according to Paladin Management Group, the firm appointed by a bankruptcy court to oversee iCap’s operations. As Bisnow reported in February, Paladin alleged that the funds iCap raised from investors “were almost 10 times greater than revenues from real estate activities,” a potential… Read More »
Peter Robertson: $2.9mm Complaint Against Peak Financial Advisor
Irvine, California financial advisor Peter Robertson (CRD# 1695345) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation. He is also a representative of Peak Financial.
