Advisor Genevieve Mar (Mar), currently employed by Berthel, Fisher & Company Financial Services, Inc. (Berthel Fisher) has been subject to at least four customer complaints and one termination for cause during the course of her career. According to a BrokerCheck report the customer complaints concerns alternative investments such as direct…
Advisor Yvonne Silguero (Silguero), currently employed by LPL Financial LLC (LPL Financial) has been subject to at least two customer complaints during the course of her career. According to a BrokerCheck report the customer complaints concerns alternative investments such as direct participation products (DPPs) like non-traded real estate investment trusts…
Advisor Steven Case (Case), currently employed by LPL Financial LLC (LPL Financial) has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck report some of the customer complaints concerns alternative investments such as direct participation products (DPPs) like non-traded real estate investment trusts (REITs), oil…
Advisor Anthony Hobson (Hobson), currently employed by Money Concepts Capital Corp (Money Concepts) has been subject to at least three customer complaints during the course of his career. According to a BrokerCheck report some of the customer complaints concerns alternative investments such as direct participation products (DPPs) like non-traded real…
Advisor Jeffrey Davis (Davis), currently employed by Kovack Securities Inc. (Kovack Securities) has been subject to at least ten customer complaints, one employment termination for cause, and one regulatory action during the course of his career. According to a BrokerCheck report some of the customer complaints concerns alternative investments such…
Advisor Richard Braverman (Braverman), currently employed by Geneos Wealth Management, Inc. (Geneos Wealth) has been subject to at least five customer complaints during the course of his career. According to a BrokerCheck report the customer complaints mostly concerns alternative investments such as direct participation products (DPPs) like non-traded real estate…
The law offices of Gana Weinstein LLP are investigating claims against advisor Lloyd Johnston (Johnston). According to records kept by The Financial Industry Regulatory Authority (FINRA), Johnston, formerly registered with Capital Financial Services, Inc. (Capital Financial) out of Spokane, Washington was barred from the financial industry. According to a BrokerCheck…
The securities attorneys at Gana Weinstein LLP are investigating advisor Michael Arteca (Arteca), currently registered with Pruco Securities, LLC. (Pruco) out of Uniondale, New York. According to a BrokerCheck report, Arteca has been subject to at least five customer complaints during his career. According to records kept by The Financial…
Advisor Shimshon Plotkin (Plotkin), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least seven customer complaints during the course of his career. According to a BrokerCheck report the customer complaints mostly concerns alternative investments such as direct participation products (DPPs) like non-traded real estate…
Advisor Keith Kelt (Kelt), currently employed by Kovack Securities Inc. (Kovack Securities) has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct participation products (DPPs) like non-traded real estate…