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Author Archives: chase@carlson-law.com

Jonathan Krueger: ProShares ETF Complaint Against Larson Financial Rep

By Chase Carlson |

Jonathan Krueger (CRD# 4416059), a broker and financial advisor based in St. Louis, has received a pending investor complaint alleging misconduct. Financial Industry Regulatory Authority records show that he is a representative of Larson Financial Group and LionsGate Advisors. 

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Brian Visconti: $200K Complaint Against Fired Raymond James Rep

By Chase Carlson |

A pending investor complaint alleges former Raymond James & Associates representative Brian Visconti (CRD# 5851551) made improper investment recommendations. Financial Industry Regulatory Authority records show that the Tampa, Florida broker and financial advisor is now registered with The Jeffrey Matthews Financial Group

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Westlake Village Broker Thomas Swan Under SEC Investigation

By Chase Carlson |

The US Securities and Exchange Commission is investigating Westlake Village, California stockbroker Thomas Swan (CRD# 1698430) over alleged violations of federal securities laws. According to Financial Industry Regulatory Authority records, the Western International Securities representative has also received an investor complaint alleging he made negligent misrepresentations.

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New Investor Complaints Against Sunrise Investment’s Celia Zhang

By Chase Carlson |

Investor complaints against San Gabriel stockbroker Celia Zhang (CRD# 5918387) allege that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered with Independent Financial Group, doing business as Sunrise Investment Capital. She is also known as Hui Zhang.

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Christopher McCaffrey: $15mm Options Complaint Against Napa Rep

By Chase Carlson |

A pending investor complaint against Morgan Stanley representative Christopher McCaffrey (CRD# 2735236) alleges his recommendations led to $15 million in damages. Financial Industry Regulatory Authority records show that he is a broker and financial advisor based in Napa, California.

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Brandon Stalcup: Little Rock Rep Allegedly Made Unauthorized Trades

By Chase Carlson |

Former Little Rock, Arkansas stockbroker Brandon Stalcup (CRD# 4024498) recently received an investor complaint that reached settlement. Financial Industry Regulatory Authority records show that the ex-Veritas Independent Partners representative is no longer registered as a broker, though he is a financial advisor affiliated with The Cabana Group.

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Churning Complaint Against NYC Rep Joseph DeSapio

By Chase Carlson |

Spartan Capital Securities representative Joseph DeSapio (CRD# 5837553) allegedly churned investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a stockbroker registered with the firm’s office in New York, New York.

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George James: Suitability Complaint Against Southwest Wealth Strategies Rep

By Chase Carlson |

Equitable Advisors representative George James (CRD# 2668465) recently received an investor complaint alleging losses following an unsuitable recommendation. Financial Industry Regulatory Authority records show that Mr. James is affiliated as a broker and investment advisor with the firm’s offices in Scottsdale, Arizona, and does business as Southwest Wealth Strategies.

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Kim Monchik: Spartan Rep Allegedly Failed to Disclose Complaints

By Chase Carlson |

New York City stockbroker Kim Monchik (CRD# 2528972) has received a pending investor complaint alleging her conduct resulted in losses. Financial Industry Regulatory Authority records show that the Spartan Capital Securities representative is also a respondent in a pending enforcement action alleging she failed to adequately disclose sales practice violations.

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Robert Turner: Did Ex-UBS Rep Run “Bogus” Investment Scheme?

By Chase Carlson |

Ex-Waco, Texas stockbroker Robert Turner (CRD# 2113736) allegedly defrauded his clients and stole their money, according to pending investor complaints against him. Financial Industry Regulatory Authority records show that the former Stifel Nicolaus & Company and UBS Financial Services representative resigned from Stifel Nicolaus last year over “concerns” regarding outside investments.

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  • Jonathan Krueger: ProShares ETF Complaint Against Larson Financial Rep

    Jonathan Krueger (CRD# 4416059), a broker and financial advisor based in St. Louis, has received a pending investor complaint alleging...

    Read More
  • Brian Visconti: $200K Complaint Against Fired Raymond James Rep

    A pending investor complaint alleges former Raymond James & Associates representative Brian Visconti (CRD# 5851551) made improper investment recommendations. Financial...

    Read More
  • Westlake Village Broker Thomas Swan Under SEC Investigation

    The US Securities and Exchange Commission is investigating Westlake Village, California stockbroker Thomas Swan (CRD# 1698430) over alleged violations of...

    Read More
  • New Investor Complaints Against Sunrise Investment’s Celia Zhang

    Investor complaints against San Gabriel stockbroker Celia Zhang (CRD# 5918387) allege that she recommended unsuitable investments. Financial Industry Regulatory Authority...

    Read More
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