Cetera Advisors Fires Advisor William Carlton for Inappropriate Trading Practice Allegations KIRKLAND, WASHINGTON Were you a client of financial advisor William Carlton from Kirkland, Washington? Our securities arbitration law firm is looking into allegations made against William Carlton also known as Bill D. Carlton. In December 2023, he was fired by Cetera Advisors. Cetera Advisors…
Continue reading ›Debbie Cavanaugh with Centaurus Financial Investigated by SEC KALISPELL, MONTANA Did you lose money with financial advisor Debbie Cavanaugh with Centaurus Financial in Kalispell, Montana? She is also known as Debbie Lee McKenna Cavanaugh and was recently the subject of an investigation by the SEC for potentially violating Regulation Best Interest. The Securities and Exchange…
Continue reading ›TOLEDO, OHIO Have you lost money with financial advisor Rita Mansour Of McDonald Partners in Toledo, Ohio? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Rita Mansour. The SEC alleged that Mansour sold investments in two pooled investment vehicles, the purpose of which was to then invest in a…
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MIAMI, FLORIDA Have you lost money with financial advisor Lina Garcia of Miami, Florida? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Lina Maria Garcia. The SEC alleged that Garcia and her firm, UCB Financial Advisors, allocated profitable trades to themselves while allocating unprofitable trades to clients. Ramiro Sugranes…
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FORT LAUDERLDALE, FLORIDA Have you lost money with financial advisor Robert Wolfe, formerly with Cetera Advisor Networks and Girard Securities in Fort Lauderdale, Florida? We are looking into allegations made against Robert B. Wolfe. Wolfe has been the subject of five customer complaints, all of which were made within the last year-and-a-half. The complaint alleges…
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TOTOWA, NEW JERSEY Have you lost money with financial advisor Jeffrey Dampf, formerly with PFS Investments in Totowa, New Jersey? We are looking into allegations made against Jeffrey Dampf. Dampf was barred from the securities industry after he failed to respond to a FINRA investigation. Jeffrey Dampf was being investigated after it was alleged that…
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MONTEREY PARK, CALIFORNIA Have you lost money with financial advisor Joshua Helmle, formerly with Integrity Brokerage Services in Monterey Park, California? We are looking into allegations made against Joshua Helmle. Helmle has been the subject of two customer complaints, one of which was made within the last year. The complaint alleges losses in private placements…
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MIAMI, FLORIDA Have you lost money with financial advisor Alberto Valdes, formerly with Raymond James Financial and now with Citigroup in Miami, Florida? We are looking into allegations made against Alberto Valdes. Valdes has been the subject of two customer complaints, one of which was made within the last year. One of the complaints alleges…
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WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose…
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SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in…
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