Posts Tagged ‘customer complaint’
Michael Venturino Racks Up 12th Investor Dispute
Michael Venturino (CRD #: 5872439), a broker registered with Spartan Capital Securities, is the subject of an investigation initiated by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on December 28, 2020. This is his 17th BrokerCheck disclosure — a relatively high number of disclosures, given that only around 8% of…
Read MoreRafe Klein Faces Allegations of Unsuitable Investment Recommendations
Rafe Klein (CRD #: 2865823), a broker registered with David Lerner Associates, is involved in a new customer dispute, according to his BrokerCheck record, accessed on December 28, 2020. There are other disclosures on his record that investors should note. On November 3, 2020, a client alleged that Rafe Klein made unsuitable investment recommendations, misrepresented…
Read MoreHaiguang Yin Faces Investor Allegations of Unsuitable Investment Recommendations
Haiguang Yin (CRD #: 3249933), a broker registered with Cetera Investment Services, is involved in a client dispute over unsuitable investments, according to his BrokerCheck record, accessed on December 2, 2020. On October 8, 2020, a client alleged that Mr. Yin recommended unsuitable investments. The client is seeking $175,000; the dispute is pending. On September…
Read MoreSeth Renaud Faces Allegations of Unsuitable REITs and Energy Securities
Seth Renaud (CRD #: 4946831), a broker registered with Commonwealth Financial Network, is facing a client dispute regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on November 24, 2020. See below to find out why the investor alleged these investments were unsuitable. On October 16, 2020, a client alleged that Mr. Renaud recommended…
Read MoreRobert Donovan Involved in an Investor Dispute Over Half a Million Dollars
Robert Donovan (CRD #: 1005325), a Massachusetts broker registered with UBS Financial Services, has yet a new investor dispute, according to his BrokerCheck record, accessed on November 24, 2020. This is the sixth investor dispute on Mr. Donovan’s record. On October 15, 2020, a client alleged that Robert Donovan recommended unsuitable investments. The client further…
Read MoreJeffrey Weiner Racks up Investor Complaints over Variable Universal Life Policies
Jeffrey Weiner (CRD #: 2476604), a broker registered with Pruco Securities LLC, is the subject of two pending customer disputes revolving around variable universal life policies, according to his BrokerCheck record, accessed on September 17, 2020. Mr. Weiner has disclosed that he is also a sales rep for MetLife. On August 27, 2020, a client…
Read MoreAsher Feinberg is the Subject of a Customer Complaint Regarding a Master Limited Partnership
Asher Feinberg (CRD #: 2189195), a broker and an investment adviser registered with Morgan Stanley, is facing a client complaint regarding an unsuitable investment recommendation, according to his BrokerCheck record, accessed on September 17, 2020. On August 10, 2020, a client alleged that Asher Feinberg made an unsuitable investment recommendation of a master limited partnership…
Read MoreAlbert Dishner Suspended for Dispute Over Authority to Exercise Discretionary Power
Albert Dishner (CRD #: 1912362), a broker and investment advisor registered with Morgan Stanley, was suspended by the Financial Industry Regulatory Authority (FINRA) for ten days, according to his BrokerCheck record, accessed on August 17, 2020. Why was Albert Dishner suspended? Read on to find out more. On June 17, 2020, Albert Dishner consented to…
Read MoreAndrew Perri, Michigan Advisor, Involved in Investor Dispute
Andrew Perri (CRD#: 2801727), a Registered Investment Adviser (RIA) with Pinnacle Wealth Management, Inc. (CRD#: 166853) in Brighton, Michigan, is currently involved in an investor dispute, according to his Investment Adviser Public Disclosure (IAPD) record accessed on July 28, 2020. What happened to lead to this investor dispute? Read on to learn more. On June…
Read MoreAndrew Perri, Michigan Advisor, Involved in Investor Dispute
Andrew Perri (CRD#: 2801727), a Registered Investment Adviser (RIA) with Pinnacle Wealth Management, Inc. (CRD#: 166853) in Brighton, Michigan, is currently involved in an investor dispute, according to his Investment Adviser Public Disclosure (IAPD) record accessed on July 28, 2020. What happened to lead to this investor dispute? Read on to learn more. On June…
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