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Financial Advisor Angelo Julius Piccone Suspended by FINRA

Angelo Julius Piccone (CRD#: 1401761) is a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1985 and previously worked with Mony Securities Corp; Equity Services, Inc.; Berkshire Equity Sales, Inc.; Hornor, Townsend & Kent, Inc.; Lifemark Securities Corp.; Nathan & Lewis Securities, Inc.; Securities America, Inc.; Metropolitan Life Insurance […]

Financial Advisor John Matson Barred by the SEC

John Nicholas Matson (CRD#: 1796541) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1996 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; Citigroup Global Markets Inc.; LPL Financial LLC; and Ameriprise Financial Services, Inc. Allegations of Misconduct According to publicly available records released by […]

Wolper Law Firm, P.A. is Pursuing Recovery Options for Investors with Losses in the Delaware Statutory Trusts (“DST”) Sold Through Kay Properties, Kingsbarn Realty Capital and FNEX Capital

The Wolper Law Firm represents investors around the country who have lost money in complex investment strategies and products, including Delaware Statutory Trusts, or “DSTs” recommended by Kay Properties, Kingsbarn Realty Capital, Marcus and Millichap and FNEX Capital. The Wolper Law Firm has extensive experience litigating DST cases throughout the country, including DST transactions involving […]

Arete Wealth Management, Joey Miller and Jeffrey Larson Sanctioned by the SEC

Arete Wealth Advisers LLC (Arete Advisors), together with Arete Wealth Management LLC (Arete Wealth) is a limited liability company headquartered in Chicago, Illinois. Arete Wealth has been registered with the commission as a broker-dealer since 1998. Arete Advisors has been registered with the commission since 2009 and has over $2.5 billion in regulatory assets under […]

Former Financial Advisor Howard Kavinsky Barred by FINRA

Howard Kavinsky (CRD#: 5881623) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2011 and previously worked with Hornor, Townsend & Kent, Inc.; Morgan Stanley; David A. Noyes & Company; National Securities Corporation; B. Riley Wealth Management; and Supreme Alliance LLC.   Current and Past Allegations of Misconduct […]

Financial Advisor Brian Culver is the Subject of Four Customer Complaints

Brian Lee Culver (CRD#: 6392736) is a registered broker and investment advisor with Cambridge Investment Research, Inc. in Kalamazoo, MI.   Broker’s History He entered the securities industry in 2015 and has worked with Cambridge Investment research Inc.,   Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Former Financial Advisor John Matson Barred by the SEC

John Nicholas Matson (CRD#: 1796541) was a previously registered broker and investment advisor.   Broker’s History He entered the securities industry in 1996 and previously worked with Merril Lynch, Pierce, Fenner & Smith Incorporated; Citigroup Global Markets Inc.; LPL Financial LLC; and Ameriprise Financial Services, Inc.   Allegations of Misconduct According to publicly available records […]

SEC Sanctions Lion Street Financial, LLC Regarding Sale of GWG L Bonds

Lion Street Financial, LLC (CRD# 165828) is a registered brokerage firm in Austin, TX. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November of 2024, the Securities and Exchange Commission (“Commission”) deemed it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, […]

Former Financial Advisor Jeffrey Higgins Barred by FINRA

Jeffrey Thomas Higgins (CRD#: 2871443) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1997 and previously worked with Financial West Group (FINRA expelled the firm in 2020), and Western International Securities, Inc. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority […]

LPL Financial Advisor Tyson Allred is the Subject of a $1.5M Customer Dispute

Tyson Allred (CRD#: 3081010) is a registered broker and investment advisor with LPL Financial LLC in Portland, OR. Broker’s History He entered the securities industry in 1998 and previously worked with Phillips & Company Securities, Inc.; Bidwell & Company; U.S Bancorp Pipe Jaffray Inc.; and U.S Bancorp Investments, Inc. Current and Past Allegations of Conduct […]