A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
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Richard Ganim: LPL Financial Advisor Faces Stock Complaint
A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best Interest. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and as an investment advisor with Stratos Wealth Partners.
Michael Hawkes: US Bancorp Advisor Faces $80K Complaint
A recent investor complaint against Roseville, California financial advisor Michael Hawkes (CRD# 2993230) alleges that his trading resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with U.S. Bancorp Advisors.
Stephen Spence: Why Was Advisor Fired by US Bancorp?
Neenah, Wisconsin financial advisor Stephen Spence (CRD# 2409165) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former US Bancorp broker is currently registered as an investment advisor with NFSG Corporation.
Ross Brannon: Ex-Park Ave Advisor Faces $100K-$500K Complaint
A recent investor complaint against Plano, Texas financial advisor Ross Brannon (CRD# 5875036) alleges that his recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Crescent Securities Group, having previously been registered with Park Avenue Securities.
Anthony Mitus: Morgan Stanley Advisor Faces $700K Complaint
A recent investor complaint against Saginaw, Michigan financial advisor Anthony Mitus (CRD# 5613183) alleges that his investment strategy resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Nicholas Duthie: Osaic Fires Advisor After Investigation
Oklahoma City, Oklahoma financial advisor Nicholas Duthie (CRD# 5870451) was recently fired by his former member firm in connection with alleged misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Osaic broker is currently registered as an investment advisor with DBM Advisors.
Brent O’Mara: Ex-Securities America Advisor Faces $4mm Complaint
A recent investor complaint against Omaha, Nebraska financial advisor Brent O’Mara (CRD# 4260408) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Securities America broker is currently registered as an investment advisor with WealthPlan Investment Management. Mr. O’Mara’s BrokerCheck report discloses… Read More »
Gregory Erekson: Edward Jones Advisor Faced $2.4mm Complaint
A recent, denied investor complaint against St. Louis, Missouri financial advisor Gregory Erekson (CRD# 5168632) alleged that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
David Soiferman: Why Was Advisor Fired by Ameriprise?
Orlando, Florida financial advisor David Soiferman (CRD# 1990243) was recently fired by a former member firm in connection with alleged rule allegations. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services representative is currently registered as a broker with Cambridge Investment Research.
James Nelson: Realta Advisor Lands Suitability Complaint
Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Realta Investment Advisors.
