Lee Nordstrom Investigated Over Trades Made in Dead Client’s Account

Lee Nordstrom (CRD #: 2248261), a broker from LPL Financial LLC, is the subject of a FINRA investigation, according to his BrokerCheck record, accessed on September 17, 2020. This is not the only disclosure on Lee Nordstrom’s record. On August 11, 2020, FINRA initiated an investigation into Lee Nordstrom. The description of the investigation alleges…

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Mark Robare Subject of Investor Complaints Regarding Unsuitable Investments

Mark Robare (CRD #: 1057899), a broker registered with Triad Advisors LLC and an investment advisor registered with Triad Hybrid Solutions LLC, is the subject of multiple investor complaints regarding unsuitable investment recommendations, according to his BrokerCheck record accessed on August 21, 2020. On June 9, 2020, an investor alleged that Mark Robare made unsuitable…

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Lee Duckworth Racks Up Fourth Investor Dispute Regarding Unsuitable Investments

Lee Duckworth (CRD #: 2097591), a broker registered with Triad Advisors and an investment advisor registered with Capital Wealth Management LLC, is facing investor complaints regarding unsuitable investments, according to his BrokerCheck record, accessed on May 28, 2021. Lee Duckworth: Unsuitable Investment Allegations How do you know if your broker made unsuitable investment recommendations? For an…

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Katherine St. Charles Clark Involved in a Customer Complaint Regarding an Unauthorized Sale of Securities

Katherine St. Charles Clark (CRD #: 856235), a broker and an investment adviser registered with RC Capital Markets, LLC, is facing investor allegations involving an unauthorized sale of securities, according to her BrokerCheck record, accessed August 21, 2020. Do you have questions about securities sales made by Katherine St. Charles Clark? Keep reading. On June…

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Hobby Barndollar is Involved in Customer Complaints Regarding Unsuitable Investments

Hobby Barndollar (CRD #: 3027317), a broker registered with Crown Capital Securities L.P., and an investment adviser registered with Crown Capital Securities L.P. and Purepath Wealth Management, is facing allegations that he made misrepresentations, omitted material facts, made unsuitable investment recommendations, and failed to exercise due diligence in respect to certain securities, according to his…

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Robert D’Agosta: Client Alleges High Commission on Unsuitable Investments

Robert D’Agosta (CRD #: 1903105), a broker and an investment adviser registered with IBN Financial Services, is involved in a client dispute regarding unsuitable investment recommendations and an over-concentration of securities, according to his BrokerCheck record accessed on August 21, 2020. If you want to learn more about Robert D’Agosta, keep reading. On June 8,…

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Andrew Pravlik: Clients Allege Unsuitable Investment Recommendations

Andrew Pravlik (CRD #: 2360456), a broker registered with Coastal Equities, Incorporated and an investment adviser registered with Coastal Investment Advisors, is facing complaints regarding unsuitable investment recommendations, misrepresentation of investments, and failure to supervise, according to his BrokerCheck record, accessed August 21, 2020. On June 9, 2020, an investor alleged Andrew Pravlik breached his…

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Gary Isler Faces 4th Investor Allegation of Unsuitable Recommendations

Gary Isler (CRD #: 1514385), a broker registered with David Lerner Associates, is facing client allegations of fraud, according to his BrokerCheck record, accessed on December 7, 2020. This is his fourth client complaint regarding an unsuitable investment recommendation. On October 6, 2020, a client alleged that Gary Isler misrepresented certain unsuitable investment opportunities. The…

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Lorraine Gallette Involved in Multiple Disputes Regarding Unsuitable Investment Recommendations

Lorraine Gallette (CRD #: 6192487), a broker registered with Coastal Equities, is involved in multiple investor disputes, according to her BrokerCheck record, accessed on October 28, 2020. Investors should note the details of the disclosure. On September 1, 2020, clients alleged that between 2016 and 2020, Lorraine Gallette made unsuitable investment recommendations. The clients further…

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Wayne Miller: Former Investor Seeks $13.2 Million Following Allegations of Unsuitable Private Placements

Wayne Miller (CRD #: 4813645), a broker registered with Aeon Capital Inc., has multiple pending client disputes, according to his BrokerCheck record, accessed on October 15, 2020. Two of these disputes concern unsuitable private placements. Mr. Miller’s record also has a number of settled client disputes and a regulatory action. On September 25, 2020, a…

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