San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Brian Dumont: $500K Complaint Against Ex-Cambridge Advisor
Former New York City broker Brian Dumont (CRD# 4737802) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cambridge Investment Research representative is currently registered as an investment advisor with Dumont Wealth in Miami, Florida.
John Aguilera: Advanced Financial Advisor Receives $240K Complaint
Vista, California financial advisor John Aguilera (CRD# 2066720) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that the Osaic Wealth broker and investment advisor was previously registered with SagePoint Financial and is the owner of Advanced Financial Solutions.
Scott Mass: David Lerner Advisor Faces $200K Complaint
A recent investor complaint against Syosset, New York financial advisor Scott Mass (CRD# 1971403) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker registered with David Lerner Associates and that past investor complaints against him have reached settlements.
Paul Tunink & Ross Brenner: Valic Advisors Receive $90K Complaint
Boca Raton financial advisors Paul Tunink (CRD# 5930891) and Ross Brenner (CRD# 5680867) allegedly failed to follow a customer’s instructions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that both representatives are registered as a broker and an investment advisor with Valic Financial Advisors.
Derek McLean: Ex-First Allied Advisor Faces Elder Abuse Complaint
Orange, California financial advisor Derek McLean (CRD# 1939560) recently received an investor complaint alleging financial elder abuse. Financial Industry Regulatory Authority records show that the former First Allied Securities representative is currently registered as a broker and an investment advisor with Cetera Advisors and Cetera Investment Advisers, respectively.
Augie Niles, Josh Shipley & Kyle Wool: Advisors Face $1.4mm Complaint
Former Revere Securities financial advisors Augie Niles (CRD# 3076666), Josh Shipley (CRD# 6631027), and Kyle Wool (CRD# 4238101) recently received an investor complaint alleging unauthorized trading. Financial Industry Regulatory Authority records show that all three brokers are currently registered with Dominari Securities in New York City.
Jeff Larson: Why Did Arete Wealth Fire St. Louis Advisor?
St. Louis financial advisor Jeff Larson (CRD# 4836889) was recently terminated by a former member firm in connection with allegations of misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arete Wealth broker is currently an investment advisor with 25 Financial.
Doug Lode: Prime Capital Advisor Faces $500K Complaint
Overland Park, Kansas financial advisor Doug Lode (CRD# 4134521) allegedly provided investment advice that led to six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Private Client Services and an investment advisor with Prime Capital Investment Advisors.
Dave Hutchison: $800K Complaint Against Cetera Advisor
Phoenix financial advisor Dave Hutchison (CRD# 732974) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors, doing business as Hutchison Investment Advisors.
Ex-Cambridge Brokers Michael Stolberg & Matt Romeo: $500K Complaint
Former Cambridge Investment Research financial advisors Michael Stolberg (CRD# 5678544) and Matt Romeo (CRD# 4201945) recently received an investor complaint alleging that their advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that Mr. Stolberg is currently registered with Private Client Services in Overland Park, Kansas, while Mr. Romeo is registered with… Read More »
