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Tag: Alternative Investments

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Financial Advisor Stephen Lawler Has Five Disclosed Customer Complaints

Stephen Curtis Lawler (CRD#: 1193477) is a Registered Broker and Investment Advisor at Cetera Advisors LLC, in Peoria, IL. Broker’s Background He entered the securities industry in 1983 and previously worked for First Allied Securities, Inc.; Lawler Financial Advisory Corporation; First Allied Advisory Services, Inc.; Investacorp Inc.; Integrated Resources Equity Corporation; FSC Securities Corporation; and […]

Concorde Investment Services Sanctioned by FINRA After Allegations of Unsuitability & Investment Loss

FINRA recently issued a sanction against Concorde Investment Services after it was alleged that the firm sold private placement offerings to investors with whom it did not have an existing relationship and who were not qualified to make those investments. Concorde Investment Services, LLC (CRD# 151604) has been a FINRA member since August 2010. The […]

Wolper Law Firm, P.A. is Pursuing Recovery Options for Investors with Losses in iCap Northwest Opportunity Fund, LLC

The Wolper Law Firm represents investors around the country who have lost money in complex investment strategies and products, including private placements. The iCap Northwest Opportunity Fund, LLC is a recent example of a private placement “gone bad” with the issuer reporting that it can no longer meet its dividend obligations to investors. The Wolper […]

Financial Advisor John Starke Has Eight Customer Complaints

John Starke, Sr. (CRD#: 3154774) is a registered Broker at Centaurus Financial, Inc. in Mechanicsville, VA. Broker’s Background He entered the securities industry in 1999 and previously worked for Financial West Group; Cabot Lodge Securities, LLC; Allied Beacon Partners, Inc.; American Beacon Partners, Inc.; Newbridge Securities Corporation; First Montauk Securities Corp.; Intersecurities, Inc.; and NYLife […]

Financial Advisor Hugh Barndollar III Fined & Suspended By FINRA

Hugh Barndollar III (CRD#: 3027317) is a previously registered Broker and an Investment Advisor. Broker’s Background He entered the securities industry in 1998 and previously worked for Crown Capital Securities, L.P.; Newport Coast Securities, Inc.; J.P. Turner & Company, LLC; Calton & Associates, Inc.; Brookstreet Securities Corporation; and Dean Witter Reynolds, Inc. Current And Past […]

Financial Advisor Joseph Weinbauer Has Disclosed Three Customer Complaints

Joseph Weinbauer (CRD#: 2714070) is a dually registered Broker and Investment Advisor at Berthel, Fisher & Company Financial Services, Inc. in St. Louis, MO. Broker’s Background He entered the securities industry in 1997 and previously worked for National Planning Corporation; American General Securities, Inc.; and Franklin Financial Services Corporation. Current And Past Allegations Of Conduct […]

Financial Advisor Patrick Hobert Disclosed Eleven Customer Complaints

Patrick Hobert (CRD#: 805680) is a registered Broker and Investment Advisor at Centaurus Financial, Inc. in Newport Beach, CA. Broker’s Background He entered the securities industry in 1975 and previously worked for Wedbush Morgan Securities, Inc.; Brookstreet Capital Management; Brookstreet Securities Corp.; FSC Securities Corp.; Corporate Benefit Securities, Inc.; Prudential-Bache Securities, Inc.; E.F. Hutton & […]

Financial Advisor Jimmy Yang Driggers Disclosed Four Customer Complaints

Jimmy Yang Driggers (CRD#: 1359593) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1985 and previously worked for Morgan Stanley & Co.; UBS Financial Services, Inc.; Prudential Securities, Inc.; Everen Securities, Inc.; Cozad Investment Services, Inc.; Escalator Securities, Inc.; Investacorp, Inc.; and J.W. Grant & […]

Financial Advisor Alan Douglass Has Disclosed Six Customer Complaints

Alan Douglass (CRD#: 1619835) is a registered Broker at Securities America, Inc. in Clearwater, FL. Broker’s Background He entered the securities industry in 1987 and previously worked for Investacorp, Inc.; Meridian, Dunhill & Co., Inc.; Monmouth Investments, Inc.; Barron Chase Securities, Inc.; Lehman Brothers, Inc.; Hanifen, Imhoff Securities Corp.; Graystone Nash, Inc.; Thomas James Associates, […]

Financial Advisor Mark A. Thompson Has Three Disclosed Customer Complaints

Mark A. Thompson (CRD#: 4632270) is a dually registered Broker and Investment Advisor at Arkadios Capital in Atlanta, GA. Broker’s Background He entered the securities industry in 2003 and previously worked for ACG Wealth, Inc.; Triad Advisors, Inc.; LPL Financial Corporation; Lincoln Financial Advisors Corporation; and The Lincoln National Life Insurance Company. Current And Past […]