Business Development Company

William Schumann (CRD #: 1604894), a broker registered with Grove Point Investments, allegedly misrepresented certain investments, according to his BrokerCheck record, accessed on March 9, […]

Joseph Brittingham (CRD #: 2853799), a broker registered with LPL Financial, allegedly recommended an unsuitable investment strategy, according to his BrokerCheck record, accessed on October […]

Kevin Houser (CRD #: 2513167), a broker registered with Ameriprise Financial Securities, is involved in several disputes involving investment recommendations, according to his BrokerCheck record, […]

Rey Descalso (CRD #: 4906080), a broker registered with J.W. Cole Financial is involved in a pending investor dispute according to his BrokerCheck record, accessed […]

William Poulter, or Bill Poulter (CRD #: 3248404), a broker registered with LPL Financial LLC, is facing allegations of unsuitable investment recommendations. This information is […]

Adam Wass (CRD #:1586317), a broker and investment advisor registered with LPL Financial, was the subject of a dispute involving unsuitable Business Development Corporation (BDC) […]

Kelly Waring (CRD #: 1199855), a broker registered with LPL Financial, faced an investor dispute in 2021. This is according to her BrokerCheck record, accessed […]

Jonathan Cummings (CRD #: 2715296), a registered broker and investment advisor registered with LPL Financial, was the subject of a dispute involving unsuitable  Real Estate […]

Kurta Law wants to speak with investors who lost money investing with Cion Investment Corporation. Cion Investment Corporation is a business development company (BDC) that […]

Brent Foster (CRD #: 5054998), an investment adviser registered with Northbound Wealth Management, is involved in an investor dispute, according to his BrokerCheck record, accessed […]