Previously financial advisor Roger Sims (Sims), previously employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
Previously financial advisor Vincent Mastrovito (Mastrovito), previously employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
Currently financial advisor Barbara Ralston (Ralston), currently employed by brokerage firm Kovack Securities INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
Currently financial advisor Maxim Tulupnikoff (Tulupnikoff), currently employed by brokerage firm David Lerner Associates, INC. has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or…
Currently financial advisor Ashley Romiti (Romiti), currently employed by brokerage firm Realta Equities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
The Los Angeles Times published a major story today examining the fallout from President Trump’s decision to commute the sentence of David Gentile, former CEO of GPB Capital, after he served only days of a seven-year federal prison term for orchestrating a massive $1.6 billion fraud that devastated more than…
FINRA’s Latest Action on GWG L-Bonds Confirms What Investors Have Been Saying for Years FINRA’s recent enforcement action involving the sale of GWG L-Bonds to elderly investors underscores a systemic problem that has directly harmed thousands of families who were steered into these speculative, illiquid products. The case—where an advisor…
Currently financial advisor Rey Descalso (Descalso), currently employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
Previously financial advisor Darryl Ferguson (Ferguson), previously employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
Previously financial advisor Bradley Goodbred (Goodbred), previously employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…