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Articles Posted in Customer Complaint

Dan Lempe (CRD#: 1265798) of New Smyma Beach, Florida, a registered representative with Presidential Brokerage, Inc., based in Englewood, Colorado, is currently involved in a pending customer dispute. The allegations include “negligence, misrepresentation, omission, failure to supervise, breach of fiduciary duty and breach of contract in the sale of a private placement to claimants in […]

Ferrell Rollins (CRD#: 1449560), a former broker with Capital Investment Group, Inc. (CRD#: 14752), was terminated on September 10, 2019 for allegedly violating firm policy by borrowing money from a customer, according to his BrokerCheck record accessed on November 14, 2019. He then allegedly lied on Annual Compliance Questionnaires. Ferrell Rollins’ alleged conduct is also […]

Joel Flanigan (CRD#: 5664958), formerly a registered representative with NYLIFE Securities LLC (CRD#: 5167) in Fort Wayne, Indiana, is currently involved in a pending customer dispute in which the plaintiff alleges that they were misled into investing in an unregistered security, according to his BrokerCheck record accessed on November 14, 2019. Joel Flanigan’s troubles began […]

Ken Guerra (CRD#: 1337062, a registered representative with Independent Financial Group, LLC (CRD#: 7717) in Grants Pass, Oregon who does business as Investment Resources, Inc., is currently involved in a $100,000 customer dispute over high-risk alternative investments.  The claimants allege that they lost some of their retirement savings; the dispute is pending. Why is this customer […]

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 […]

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