San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Joseph Audia: VCS Advisor Lands $295K Suitability Complaint
Hauppage, New York financial advisor Joseph Audia (CRD# 2909761) recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Securities and that he was previously registered with Joseph Stone Capital.
Max Elson Jr.: $635K Complaint Against Morgan Stanley Advisor
Champions Gate, Florida financial advisor Max Elson Jr. (CRD# 4430278) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Marty Valade: Woodbury Advisor Faces $300K Complaint
A recent investor complaint against Cypress, California financial advisor Marty Valade (CRD# 1532673) alleges that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Woodbury Financial Services, doing business as Murphy Financial Services.
iCap Equity Files for Bankruptcy
The Chief Executive Officer of iCap Equity, a Bellevue-based equity fund, announced his departure from the company in a letter sent to investors last month. This marks the latest in a series of challenges for the alternative investment firm, whose offerings include the iCap Vault I LLC, the iCap Pacific Income V LLC, and… Read More »
Talin Kalaydjian: $50K-$100K Complaint Against Western Advisor
Westlake Village, California financial advisor Talin Kalaydjian (CRD# 6674529) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Western International Securities.
John Franzino: Forgery Complaint Against J&M Financial Advisor
An investor complaint against Massapequa, New York financial advisor John Franzino (CRD# 4734949) alleges misconduct in connection with insurance sales. Financial Industry Regulatory Authority records show that he is a broker with Ameritas Investment Company and the owner of J&M Financial Services, having previously been registered with NYLife Securities.
Tim Campbell: Fired MML Advisor Faces Complaint
Boca Raton financial advisor Tim Campbell (CRD# 3046265) recently received an investor complaint alleging discrepancies in account forms. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation, having previously been registered with MML Investors Services.
Andrew Pesner: 6-Figure Complaint Against VCS Advisor
A recent investor complaint against Hauppage, New York financial advisor Andrew Pesner (CRD# 1971579) alleges that his advice resulted in damages of more than $250,000. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Services, having previously been registered with Joseph Stone Capital.
Richard Rogers: Ex-Belpointe Advisor Resigned over Allegations
Phoenix, Arizona financial advisor Richard Rogers (CRD# 1847671) recently resigned from a former member firm in connection with allegations of misconduct. Financial Industry Regulatory Authority records show that the former Belpointe Asset Management advisor is currently registered with Brookwood Investment Group.
Randall McGill: $75K GWG L Bond Complaint Against Ausdal Advisor
A recent investor complaint against Homer Glen, Illinois financial advisor Randall McGill (CRD# 1309727) alleges misconduct relating to an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and former investment advisor with Ausdal Financial Partners.
