Christopher Shaw (CRD #: 5011382), a Belmont, North Carolina broker registered with Newbridge Securities Corporation, has two new investor disputes, according to his BrokerCheck record, accessed on January 27, 2021. Multiple disputes allege that Shaw made unsuitable investment recommendations. On December 16, 2020, an investor alleged that Christopher Shaw recommended unsuitable investment recommendations. The investor…

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Brett Hartvigson (CRD #2263087), a broker registered with Independent Financial Group, is facing client allegations of over-concentration of alternative investments, according to his BrokerCheck record, accessed on December 14, 2020. There are several other disclosures on Mr. Hartvigson’s record that are described in further detail below. On September 17, 2020, a client alleged that Brett…

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Robert Alvarez (CRD #: 2242198), an investment adviser registered with International Assets Advisory, has a fine from the State of Louisiana, according to his BrokerCheck record, accessed on October 21, 2020. There are more disclosures related to Mr. Alvarez’s conduct as a broker that investors should note. On September 21, 2020, the State of Louisiana…

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Daniel Mancuso (CRD #2519423), a broker and investment advisor registered with Paulson Investment Advisors LLC, has consented to official censure from FINRA, according to his BrokerCheck record, accessed on October 6, 2020. Mr. Mancuso has also settled several client disputes related to unsuitable investments. On February 6, 2014, Daniel Mancuso entered into an Acceptance, Waiver,…

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Farrukh Kazmi (CRD #: 2855915), a broker registered with Berthel, Fisher & Company Financial Services, Inc., has pending client complaints regarding unsuitable and misrepresented investments, according to his BrokerCheck record, accessed September 22, 2020. There are also two regulatory actions and an employment termination on his record that investors should note. On July 24, 2020,…

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Lee Kramer (CRD #: 1465416), a broker and an investment adviser registered with FSC Securities Corporation, is facing two pending investor involving recommendations related to a business development company, according to his BrokerCheck record, accessed September 21, 2020. In addition, Mr. Kramer has faced regulatory actions in six different states and has two disclosures related…

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Mark Boucher (CRD #2187695), an investment advisor registered with Strategic Wealth Advisors Group Services Inc., is the subject of an SEC Complaint. (Mr. Boucher is also a previously registered broker.) The Complaint alleges that he stole millions of dollars from clients and forged a letter to make it look like a client gifted him $1.5…

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