Advisor Kenneth Barroga (Barroga), currently employed by Crown Capital Securities, L.P. (Crown Capital) has been subject to at least five customer complaints during the course of his career. According to a BrokerCheck report most of these customer complaints appears to concern unsuitable investments in alternative investments. These allegations may also…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Jeffrey Nesseth (Nesseth) currently associated with Independent Financial Group, LLC (Independent Financial) out of Plano, Texas. According to a BrokerCheck report, Nesseth has been subject to at least four customer…
Advisor William Richardson (Richardson), currently employed by InvestCorp, Inc. (InvestaCorp) has been subject to at least five customer complaints. According to a BrokerCheck report some of the customer complaints concern alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil & gas programs, annuities,…