Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Alexis Prokop: Ex-UBS Advisor Faces Illegal Transfer Complaint
Garden City, New York financial advisor Alexis Prokop (CRD# 5632376) allegedly made illegal wire transfers, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with UBS Financial Services.
Ken Kohn: REIT Complaint Against Equinox Advisor
Melville, New York financial advisor Ken Kohn (CRD# 1575332) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, and that he is a member of Equinox Financial Partners.
Kurt Jackson: Suitability Complaint Against Ex-Kestra Advisor
Arroyo Grande, California financial advisor Kurt Jackson (CRD# 2913769) allegedly recommended unsuitable alternative investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Commonwealth Financial Network, and he is the owner of Central Coast Wealth Management.
Mike Lader: $100K Complaint Against Ameriprise Advisor
A recent investor complaint against Palm Beach Gardens, Florida financial advisor Mike Lader (CRD# 5158093) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Ben Duckett: Graystone Advisor Receives Options Complaint
A recent investor complaint against Carlsbad, California financial advisor Ben Duckett (CRD# 6143741) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, whose website shows that he is a member of Graystone Consulting, a practice within… Read More »
Cody Moran: Bankers Life Advisor Faced $1.8mm Complaint
A recent, denied investor complaint against Cedar Rapids, Iowa financial advisor Cody Moran (CRD# 6939984) alleged that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Bankers Life Securities.
Tim O’Brien: $107K Complaint Against TK Financial Advisor
A recent investor complaint against Colorado Springs, Colorado financial advisor Tim O’Brien (CRD# 5798481) reached a settlement of more than $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ausdal Financial Partners, doing business as TK Financial Services.
Samuel Duckett: Option Strategy Complaint Against Graystone Advisor
A recent investor complaint against Austin, Texas financial advisor Samuel Duckett (CRD# 5820876) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, whose website shows that he is a member of Graystone Consulting, a practice within… Read More »
Matt White: Oil & Gas Complaint Against Cetera, True North Advisor
Baytown, Texas financial advisor Matt White (CRD# 3039904) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera and the owner of True North Private Wealth Partners.
Gabriel Martin: LPL Advisor Receives Investor Complaint
A recent investor complaint against Covington, Louisiana financial advisor Gabriel Martin (CRD# 7815903) alleges that his advice resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Pelican Advisory.
