William Baum (CRD#: 1528847), a registered representative with Great American Investors, Inc. in Overland Park, Kansas, is currently involved in a pending customer dispute, according to his BrokerCheck record accessed on November 12, 2019. On September 10, 2019, William Baum became involved in a customer dispute in which clients allege that he “failed to recommend […]

Katherine Nishnic (CRD#: 2499553), a registered representative with Centaurus Financial, Inc. in Lexington, South Carolina, is currently involved in six pending customer complaints, according to her BrokerCheck report accessed on November 12, 2019. In each complaint, a client is seeking at least $100,000 in damages. Most recently, on September 11, 2019, a customer alleged that […]

Heather Weber (CRD#: 2911524), currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691), is currently involved in a customer dispute in which a client alleges that Heather Weber recommended unsuitable investments and made misrepresentations, according to her BrokerCheck report accessed on October 23, 2019. The client, who filed the dispute […]

Philip Sparacino (CRD#: 3243960), a registered representative with First Standard Financial Company LLC of Red Bank, New Jersey, was the subject of a regulatory action by the New Jersey Bureau of Securities. On October 8, 2019, the New Jersey Bureau of Securities levied an administrative penalty of $250,000 and revoked Paul Sparacino’s New Jersey securities […]

Alan Appelbaum (CRD#: 500336), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Boca Raton, Florida, is currently involved in multiple pending customer disputes, mainly over unsuitable investment recommendations, according to his BrokerCheck record accessed on October 25, 2019. Throughout his 43-year career in the securities industry, Alan Appelbaum has a dozen disclosures, including […]

William Foster (CRD#: 2096122), a registered representative with Ameriprise Financial Services, Inc. of Glendale, California, is currently involved a customer dispute over a variable annuity, according to his BrokerCheck report accessed on October 24, 2019. In a complaint filed on September 23, 2019, a client “alleged his advisor misrepresented the returns he could expect from […]

Troy Howard (CRD#: 2264121), a Birmingham, Alabama-based registered representative with Raymond James & Associates, Inc. (CRD#: 705), is currently involved in a pending customer dispute, according to his BrokerCheck record accessed on October 24, 2019. In a customer complaint filed on September 20, 2019, a client alleged that Troy Howard engaged in “Breach of Fiduciary […]

Bernie Audet (CRD#: 1317819), a registered representative with MML Investors Services, LLC (CRD#: 10409) in Newtown Square, Pennsylvania, is currently involved in two pending customer disputes over variable universal life insurance policies, according to his BrokerCheck record accessed on October 23, 2019. In a customer dispute filed on September 24, 2019, the owner of a […]

Steve Netzel (CRD#: 2863170), previously a registered representative with Madison Avenue Securities, LLC of Sun Lakes, Arizona (CRD#: 23224), is currently involved in a pending customer dispute in which a client alleges that he made unsuitable recommendations, according to his BrokerCheck report accessed on October 22, 2019. The client is requesting $300,000 in damages. According […]

Larry Boggs (CRD#: 1874727), a registered representative with International Assets Advisory, LLC in Atlanta, Georgia, is currently involved in a pending customer dispute in which a client alleges that Larry Boggs made “unsuitable investment recommendations,” according to his BrokerCheck report accessed on October 22, 2019. The complaint also alleges “breach of contract, violation of Alabama […]

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