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News
Mark Korona: UBS Financial Services Advisor Faces $15mm Complaint
6+ day, 16+ hour ago (341+ words) carlsonlaw.com Mark Korona: UBS Financial Services Advisor Faces $15mm Complaint A recent investor complaint against Lexington, Kentucky financial advisor Mark Korona (CRD# 4747579) alleges that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered…...
Warren Prehmus: BIP Wealth Advisor Faces $1.8mm Complaint
1+ week, 6+ day ago (461+ words) carlsonlaw.com Warren Prehmus: BIP Wealth Advisor Faces $1.8mm Complaint Peachtree Corners and Norcross, Georgia financial advisor Warren Prehmus (CRD# 1875927) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as…...
Walter Putnam: Northwestern Advisor Faced $65K Complaint
1+ week, 6+ day ago (396+ words) carlsonlaw.com Walter Putnam: Northwestern Advisor Faced $65K Complaint A recent, denied investor complaint against Tampa, Florida financial advisor Walter Putnam (CRD# 1274433) alleged that he recommended an unapproved investment. Financial Industry Regulatory Authority records show that he is registered as a…...
David Hammond: Cetera Advisor Faces $215K Complaint
4+ week, 1+ day ago (425+ words) carlsonlaw.com David Hammond: Cetera Advisor Faces $215K Complaint A recent investor complaint against Tucson, Arizona financial advisor David Hammond (CRD# 235308) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a…...