Arete’s Shane McMillan Involved in More Customer Complaints
Shane McMillan (CRD# 5126963), a broker registered with Arete Wealth Management, allegedly made unsuitable investment recommendations. This allegation is disclosed in his BrokerCheck report, a Financial Industry Regulatory Authority (FINRA) record accessed on July 11, 2023. As this record shows, the Englewood financial professional has been involved in several investor disputes. More information about his […]
Complaint: Chris Passero Recommended Ponzi Scheme to Client
Chris Passero (CRD# 2517681), a broker registered with Money Concepts Capital, recommended unsuitable investments in alleged Ponzi-like scheme GPB Capital, according to an investor dispute. This information can be found in his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on June 29, 2023. The record identifies Mr. Passero as the president of Passero Financial […]
JD Phillips: Complaints Involving Former Charlotte Broker Settled for $2.5 Million
John Phillips (CRD# 2796242) is involved in settled or pending customer complaints alleging his recommendations resulted in substantial losses. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 17th, 2021, Mr. Phillips was most recently registered with MetLife Securities in Charlotte, North Carolina. Also known as JD Phillips, he is […]
Ponzi Scheme Investigation: deeproot Funds and Robert Mueller
Our law office is investigating arbitration cases against the financial advisors who marketed deeproot Funds to investors. If you or someone you know invested in a deeproot fund, including 575 fund or dGRD, please call us at 800-767-8040 for a free and confidential consultation. What is the lawsuit about deeproot Funds about? On August 20, […]