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 for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional equities. The client…

Read More

Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Gregory O’Brien’s conduct as a broker? Keep reading to learn more. On June 18, 2020, a…

Read More

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 Regulatory Authority (FINRA), according to his Investment Adviser Public Disclosure, accessed August 19, 2020. This was the latest on a substantial list of regulatory actions…

Read More

Johnny Guan (CRD#: 5711977), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a client alleges that he recommended unsuitable investments, overconcentrated their portfolio, made unauthorized transactions, and breached his fiduciary duty (putting his interests ahead of the client’s), according…

Read More

  Bart Bohrer (CRD#: 4315654), a registered representative with Calton & Associates, Inc. (CRD#: 20999) in Tampa, Florida, is currently involved in three pending customer disputes totalling over $900,000, according to his BrokerCheck record accessed on January 17, 2020. On March 4, 2019, a client alleged that Bart Bohrer violated the Minnesota Securities Act and…

Read More

Richard Pittman (CRD#: 2845145), a registered representative with Cetera Advisors LLC in Memphis, Tennessee, is currently involved in a pending customer dispute in which a client alleges that Richard Pittman recommended unsuitable investments in 2008, according to his BrokerCheck record accessed on October 23, 2019. The investments in question involve oil and gas, as well…

Read More

Yvonne Silguero (CRD#: 3211495), a registered representative with LPL Financial LLC in McAllen, Texas and Brownsville, Texas, is currently involved in a $500,000 dispute over misrepresentation, according to her BrokerCheck report accessed on October 2, 2019. A client, who filed a complaint on August 9, 2019, alleges that Yvonne Silguero engaged in “negligence, gross negligence,…

Read More

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that New Jersey-based First Standard Financial Company broker Debra Bourne has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Bourne (CRD# 1352344). Debra Bourne has spent 19…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Florida-based RM Stark & Company broker Thomas Marino has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marino (CRD# 4438533). Thomas Marino has spent 17…

Read More

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that New York-based Janney Montgomery Scott broker/adviser Craig Sherrer has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sherrer (CRD# 5972142). Craig Sherrer has spent seven years in…

Read More