Financial Advisor Fraud

Luke Johnson (Coastal Equities) Accused in $314,400 FINRA Complaint

A significant development has surfaced in the financial investment sector. This month, the Financial Industry Regulatory Authority (FINRA) initiated an enforcement action against Luke Johnson, a former Coastal Equities representative and Scottsdale financial advisor. The Crux of the Allegations The crux of the allegations centers around the unsuitable investments, including GPB Capital and other illiquid […]

Luke Johnson (Coastal Equities) Accused in $314,400 FINRA Complaint Read More »

financial advisor fraud

Steve Gessner, WPG Advisor, Receives Oil & Gas Complaint After Risky Investment

Further scrutiny has been drawn to the financial advisory industry as Steve Gessner, a Baltimore-based financial advisor, has allegedly recommended unsuitable investments, as noted in a recent investor complaint. Gessner, identified with CRD# 2650114, has a recorded experience of 27 years in the securities industry. Currently an investment advisor with WPG Financial Group, he was

Steve Gessner, WPG Advisor, Receives Oil & Gas Complaint After Risky Investment Read More »

Sue Financial Advisor, Investment Fraud Lawyers

Luke Johnson (Legend Capital Group) BARRED – Investor Loss Recovery Options

Luke Johnson, a previous associate at Legend Capital Group and Coastal Equities, has received a permanent ban by the Financial Industry Regulatory Authority (FINRA) from operating as a broker or having any affiliation with a broker-dealer firm. This consequence comes in the wake of Johnson’s inappropriate suggestions to a group of nine customers to invest

Luke Johnson (Legend Capital Group) BARRED – Investor Loss Recovery Options Read More »

Chuck Roberts Stifel Scandal

The Chuck Roberts Stifel Scandal: $23+ Million-Dollar Loss and Customer Complaints

Is your investment secure with your financial advisor? Is it time to reassess your financial strategies? The unfolding tale of Chuck Roberts and his alleged involvement in financial irregularities might give you a reason to pause. Chuck Roberts, a managing director of investments with Stifel Nicolaus & Co. Inc., is currently embroiled in a whirlpool

The Chuck Roberts Stifel Scandal: $23+ Million-Dollar Loss and Customer Complaints Read More »

Scroll to Top