New Orleans, Louisiana financial advisor Steve Hooks (CRD# 5020190) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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Steve Hooks: $1.5mm Complaint Against JP Morgan Advisor
New Orleans, Louisiana financial advisor Steve Hooks (CRD# 5020190) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
Randy Petrilli: Reg BI Complaint Against Goodwin Petrilli Advisor
A recent investor complaint against Fort Collins, Colorado financial advisor Randy Petrilli (CRD# 4849882) alleges that he violated industry standards. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Goodwin Petrilli Financial.
Ron Gelok: AAG Capital Advisor Faces $2mm Complaint
Naples, Florida financial advisor Ron Gelok (CRD# 1403352) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with AAG Capital and an investment advisor with Ronald Gelok & Associates.
Zachary Green: $200K Complaint Against Merit Financial Advisor
Raleigh, North Carolina financial advisor Zachary Green (CRD# 5714566) allegedly failed to properly explain an investment strategy, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Merit Financial Advisors.
Phillip Allen: Madison Avenue Securities Advisor Faces $393K Complaint
A recent investor complaint against Greenville, South Carolina financial advisor Phillip Allen (CRD# 1337542) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Madison Avenue Securities.
Deborah Key: Wells Fargo Advisor Receives $1.5mm Complaint
Las Vegas, Nevada financial advisor Deborah Key (CRD# 1236421) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo.
Amelia Guidi: $4mm Complaint Against Morgan Stanley Advisor
Boulder, Colorado financial advisor Amelia Guidi (CRD# 5485709) recently received an investor complaint alleging that she recommended an unsuitable strategy. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Marlo Carpio: US Bancorp Advisor Lands $2.1mm Complaint
Twin Lakes, Wisconsin financial advisor Marlo Carpio (CRD# 3161657) recently received an investor complaint alleging that he violated industry rules, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with US Bancorp Advisors.
Andrew Montgomery: Why Was LBMZ Advisor Fired?
Wilmington, Delaware financial advisor Andrew Montgomery (CRD# 5668018) was terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LBMZ and Zacks Investment Management advisor is currently registered as a broker with Realta Equities.
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 as a broker and an investment advisor with UBS Financial Services.
