Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Carl Gill: Investor Seeks to Recover Six-Figure Losses

May 18, 2021
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Carl Gill (CRD #: 1076361), an investment adviser registered with Asset Preservation Capital, is involved in a six-figure dispute according to his Investment Adviser Public Disclosure record, accessed on May…

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Clyde Jensen Subject of FINRA Action: Regulator Alleges Unethical Practices

April 5, 2021
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Clyde Jensen (CRD #: 5658476), a Tampa, Florida broker registered with TD Private Client Wealth, is the subject of a FINRA regulatory action, according to his BrokerCheck record, accessed on…

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Kurt Baldry: Investors Allege Six-Figure Losses

March 1, 2021
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Kurt Baldry (CRD #: 1568930), a broker registered with Ausdal Financial Partners, is involved in two pending disputes, according to his BrokerCheck record, accessed on February 23, 2021. Both involve…

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Kirk Pickell: Investor Alleges that Unsuitable Recommendations Led to $10,000,000 Loss

February 5, 2021
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Kirk Pickell (CRD #: 2294187), a broker and investment adviser registered with Janney Montgomery Scott, is involved in a $10,000,000 investor dispute, according to his BrokerCheck record, accessed on January…

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Investors Allege Bryon Martinsen’s Recommendations Resulted in Losses of Over $9 Million

January 19, 2021
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Bryon Martinsen (CRD #: 1621649), a broker registered with Centaurus Financial, has three pending investor disputes regarding suitability, according to his BrokerCheck record, accessed on January 8, 2020. These three…

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Roderick von Lipsey Involved in Customer Dispute Regarding Yield Enhancement Strategy

December 18, 2020
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Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on…

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Guil Nergard: Investor Alleges Unauthorized Trades

December 4, 2020
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Guil Nergard (CRD #: 2360614), a broker registered with Raymond James & Associates, has racked up a fourth investor dispute, according to his BrokerCheck record, accessed on November 30, 2020.…

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Chad Vandenbusch Facing Client Allegations Regarding Misrepresentations

September 18, 2020
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Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading…

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Sylvester Knox Suspended By FINRA Following State Regulatory Actions and Client Disputes Alleging Unauthorized Transactions

August 24, 2020
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Sylvester Knox (CRD #: 1625705), an investment advisor registered with The Knox Group Wealth Management, and a broker formerly registered with FSC Securities Corporation, was suspended by the Financial Industry…

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Christopher Wurtzinger Suspended by FINRA and Subject of a Customer Complaint

August 21, 2020
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Christopher Wurtzinger (CRD #: 1921024), a broker registered with American Trust Investment Services and an investment adviser registered with Sorsby Financial Corporation, was recently suspended by the Financial Industry Regulatory…

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