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Articles Tagged with alternative investments

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 […]

Robert S. Smith (CRD#: 1412333), a registered representative with Concorde Investment Services, LLC of Lake Oswego, Oregon, does business as Peregrine Private Capital Corporation and specializes in alternative investments. He is currently involved in a $1.1 million dispute regarding private placements, according to his BrokerCheck report accessed on September 3, 2019. According to his broker […]

Darren Kubiak (CRD#: 1239086), a registered representative with Kalos Capital who does business as Kubiak Financial Services, is currently involved in two pending customer disputes involving unsuitable investments, according to his BrokerCheck record accessed on August 27, 2019. One dispute involves his recommendation of GPB Funds. In a claim filed on July 12, 2019, a […]

Christopher Neston (CRD#: 2741497), a registered representative with Ausdal Financial Partners, Inc. in North Oaks, Minnesota, is involved in a pending customer dispute in which a client alleges that Christopher Neston “made unsuitable recommendations resulting in concentrated illiquid, alternative investments because they paid high commissions,” according to his BrokerCheck record accessed on August 15, 2019. […]

Anthony “Tony” Frederick Hobson (CRD #: 4212302), a broker with Money Concepts Capital Corp. of Griffith, Indiana, is currently involved in a customer dispute regarding alternative investments, according to his BrokerCheck report accessed on July 31, 2019. In the complaint dated June 11, 2019, according to Anthony Frederick Hobson’s BrokerCheck report, “Customer alleges between April […]

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