Kentucy Enters Order with Bruce Hanks over REIT Sales

Bruce Hanks (CRD 2916399) and Wealth Management of Kentucy have entered into a consent order with the State of Kentucy. The consent order deals with the marketing of REITs and business development corporations. According to the Order, Hanks hosted seminars at the Hyatt Recency Hotel in Lexington, Kentucky on March 20, 2019. The purpose of […]

Complaints Continue for South Carolina Cadaret Grant Advisor

William Johnson (CRD# 3174473), a Cadaret Grant & Company advisor based in Greenville, South Carolina is the recipient of numerous resolved or pending customer disputes.  This is according to Financial Industry Regulatory Authority (FINRA) records accessed on November 8, 2021. If you have lost money investing with Mr. Johnson or his firm and you want […]

Grace Guo Involved in Two Customer Arbitrations

Mei Xia Guo (CRD# 4201624), a Cetera Investment Services broker and adviser, is the recipient of pending customer complaints, according to Financial Industry Regulatory Authority (FINRA) records accessed on November 8, 2021. Grace Guo is registered with the firm’s office in Monterey Park, California. If you have lost money investing with Ms. Guo or her […]

Investor: Cynthia Giovacchino Recommended Unsuitable REITs

Cynthia Giovacchino (CRD# 3274194), an LPL broker in Ansonia, Connecticut was recently involved in a customer complaint involving non-traded REITs.  This is according to Financial Industry Regulatory Authority (FINRA) records accessed on November 8, 2021. If you have lost money investing with Ms. Giovacchino or LPL Financial and you want to discuss your case with […]