Former San Francisco financial advisor Bill Conn (CRD# 1477107) was recently sanctioned in connection with allegations of unauthorized trades and...
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Dan Mann: Investor Complaint Against Ex-Kalos Advisor
Las Vegas, Nevada financial advisor Dan Mann (CRD# 4592568) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Cornerstone Wealth Management.
Garry Martin: Champion Forest Advisor Lands $191K Complaint
A recent investor complaint against Houston, Texas financial advisor Garry Martin (CRD# 1362164) alleges that he improperly set up accounts, resulting in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services, doing business as Champion Forest Financial Advisors.
Antonio del Castillo: Fidelity Advisor Faced $129K Complaint
Campbell, California financial advisor Antonio del Castillo (CRD# 4986536) recently received an investor complaint alleging that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors.
Lora Hoff: Wealth Partners Advisor Landed $150K Complaint
A recent, denied investor complaint against Dallas, Texas financial advisor Lora Hoff (CRD# 3175071) alleges that her advice resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as Wealth Partners Alliance.
Aubrey Parker: $140K Complaint Against Wells Fargo Advisor
Stone Mountain, Georgia financial advisor Aubrey Parker (CRD# 2454088) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Joseph Eisler: FINRA Investigates LPL Advisor
A recent investigation into Blue Bell, Pennsylvania financial advisor Joseph Eisler (CRD# 2503507) concerns allegations of improper sharing in customer profits. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Gladstone Wealth Partners.
Ed Hill: $175K Complaint Against Hill Wealth Advisor
West End, North Carolina financial advisor Ed Hill (CRD# 6008804) recently received an investor complaint alleging that his advice resulted in damages of more than $150,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Hill Wealth Management.
Ian Greenblatt: $150K Complaint Against Capitol Securities Advisor
A recent investor complaint against Melville, New York financial advisor Ian Greenblatt (CRD# 2276966) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Capitol Securities Management and a representative of Waterview Business Partners.
Ken Nahrstedt: FINRA Suspends LM Kohn Advisor
Rocky River, Ohio financial advisor Ken Nahrstedt (CRD# 2096953) allegedly caused his member firm to maintain inaccurate books and records, according to a recent sanction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LM Kohn & Company.
Carlson Law Represents Archie Block Client Against Buckman, Buckman, & Reid
Carlson Law is representing a former client of Archie Block, a Little Silver, New Jersey-based financial advisor licensed with Buckman, Buckman, & Reid, Inc. Our firm currently has a pending arbitration for a customer based in New York. Our claim alleged that Block churned the accounts of our client, a 93-year-old man with declining… Read More »
