Raleigh, North Carolina financial advisor Mary Duffman (CRD# 4651571) recently received an investor complaint alleging that her conduct resulted in...
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Mary Duffman: Merrill Advisor Faces Unauthorized Trading Complaint
Raleigh, North Carolina financial advisor Mary Duffman (CRD# 4651571) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Matt Gimmelli: $1mm Complaint Against Morgan Stanley Advisor
Scottsdale, Arizona financial advisor Matt Gimmelli (CRD# 2740441) 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 and an investment advisor with Morgan Stanley.
Jay Porter: $99K Complaint Against Realta Advisor
Bellevue, Washington financial advisor Jay Porter (CRD# 1123708) allegedly engaged in negligence, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Realta, doing business as Porter Advisory Group.
Brian Field: Lifetime Advisor Lands Suitability Complaint
A recent, denied investor complaint against Encinitas, California financial advisor Brian Field (CRD# 4354776) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Lifetime Financial Advisors.
Peter Economos: Merrill Advisor Lands REIT Complaint
A recent, denied investor complaint against Walnut Creek, California financial advisor Peter Economos (CRD# 6596680) alleged that he violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Brendan Jones: Wells Fargo Advisor Receives 6-Figure Complaint
A recent investor complaint against Winter Park, Florida financial advisor Brendan Jones (CRD# 6127657) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo, having previously been registered with Edward Jones.
Andy Cheng: Schwab Advisor Faced Investor Complaint
A recent, denied investor complaint against Arcadia, California financial advisor Andy Cheng (CRD# 5471374) alleged that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab & Company, having previously been registered with Cetera Investment Services.
Robert Binkele: DST Advisor Lands $2.5mm Complaint
Indian Wells, California financial advisor Robert Binkele (CRD# 2393598) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Ashton Stewart & Company and an investment advisor with DST Wealth Management.
Matthew Summe: Why Did LPL Fire Stratos Advisor?
Former Elmhurst, Illinois financial advisor Matthew Summe (CRD# 6528204) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with LPL Financial and an investment advisor with Stratos Wealth Partners.
Rees Mason: $1.2mm Complaint Against Merrill Advisor
Ponte Vedra Beach, Florida financial advisor Rees Mason (CRD# 6032370) recently received an investor complaint alleging that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
