San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Tim Peyton: $750K Complaint Against Crown Capital Advisor
Gretna, Louisiana financial advisor Tim Peyton (CRD# 1773817) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Crown Capital Securities.
Mike Silverman: Oppenheimer Denies Suitability Complaint
A recent, denied investor complaint against Conshohocken financial advisor Mike Silverman (CRD# 1915352) alleged that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Oppenheimer & Company.
David Wilke: $300K GWG Complaint Against Capital Investment Advisor
Sandy Springs, Georgia financial advisor David Wilke (CRD# 2258159) allegedly breached his fiduciary duty in connection with a GWG L bond investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Capital Investment Group and an advisor with Capital Investment Advisory Services.
Todd Mezrah: FINRA Suspends Lion Street Advisor
Tampa financial advisor Todd Mezrah (CRD# 2313891) allegedly violated industry rules, according to a recent enforcement action against him. Financial Industry Regulatory Authority records show that he is a broker with Lion Street Financial and an investment advisor with Lion Street Advisors, having previously been registered with M Holdings Securities.
Jeremy Strickler: $4.5mm Complaint Against Ex-Wells Fargo Advisor
Greenville, South Carolina financial advisor Jeremy Strickler (CRD# 3075697) recently received an investor complaint alleging that his recommendations resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently registered as an investment advisor with Advisory Services Network. He is also the… Read More »
Stewart Ginn: FINRA Files Complaint Against Paxton Financial Advisor
A pending regulatory complaint against Encinitas financial advisor Stewart Ginn (CRD# 4503197) alleges that he churned and excessively traded customer accounts. Financial Industry Regulatory Authority records show that he is a broker with Independent Financial Group, doing business as Paxton Financial Services.
Bill King: $500K-$750K Complaint Against Ex-Merrill Advisor
Several recent investor complaints against former Vero Beach financial advisor Bill King (CRD# 1432593) allege that an options trading strategy led to six- or seven-figure losses. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Merrill Lynch.
Darren Grossman: GM Financial Advisor Faces $150K Complaint
Bala Cynwyd financial advisor Darren Grossman (CRD# 5762586) is involved in an investor complaint alleging his investment advice resulted in damages of more than $100,000. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Centaurus Financial, doing business as GM Financial Consultants.
Keith Offel: Stonehaven Financial Advisor Lands $70K Complaint
Placentia, California and Navarre, Florida financial advisor Keith Offel (CRD# 2570946) allegedly recommended an unsuitable investment, according to a recent investor complaint that was denied. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Stonehaven Financial Group.
Tom Avant: Wells Fargo Advisor Faces Suitability Complaint
El Reno, Oklahoma financial advisor Tom Avant (CRD# 1359654) allegedly recommended an unsuitable investment strategy, 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.
