Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
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Todd Welsh: Ex-UBS Advisor Receives $100K Complaint
Tulsa, Oklahoma financial advisor Todd Welsh (CRD# 3214419) recently received an investor complaint alleging due diligence failures. Financial Industry Regulatory Authority records show that he is registered as a broker with Level Four Financial and an investment advisor with Scissortail Wealth Management.
Steve Bransburg: Gradient Advisor Fired by AllState
Conroe, Texas financial advisor Steve Bransburg (CRD# 1003470) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former AllState Financial Services representative is currently registered as a broker with Gradient Securities.
Leonard Suskind: UBS Advisor Received $1.5mm Complaint
A recent, denied investor complaint against Hallandale Beach, Florida financial advisor Leonard Suskind (CRD# 1140599) alleged that his conduct resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Fred Hilton: $500K Complaint Against LPL Advisor
Gainesville, Florida financial advisor Fred Hilton (CRD# 2161935) 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 LPL Financial, doing business as CAMPUS Investment Services.
Walter Schram: Ameriprise Advisor Lands $300K Complaint
A recent investor complaint against Farmington Hills, Michigan financial advisor Walter Schram (CRD# 1728096) 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 Ameriprise Financial Services.
James Peterson: Did Raymond James Advisor Misappropriate Funds?
St. Cloud, Minnesota financial advisor James Peterson (CRD# 1804629) recently received an investor complaint alleging that he misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services, and that he is a representative of Bremer Investments.
Steve Marotto: $550K Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Francisco, California financial advisor Steve Marotto (CRD# 5473140) 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 Morgan Stanley.
Dave Dunn: $8.8mm Complaint Against Dunn Wealth Advisor
Walnut Creek, California financial advisor Dave Dunn (CRD# 2819556) recently received an investor complaint alleging elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates, having previously been registered with Oppenheimer & Company.
Keith Baron: FINRA Bars Ex-Equity Services Advisor
A recent regulatory sanction against former Jericho, New York financial advisor Keith Baron (CRD# 3231494) barred him in connection with allegations that he misrepresented an energy investment. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Equity Services, though he is no longer registered as a broker.
John Mickelson: Suitability Complaint Against Wealth Advocates Advisor
Logan, Utah financial advisor John Mickelson (CRD# 2628700) allegedly recommended investments to generate commissions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with CreativeOne Securities and an investment advisor with Strategic Advocates, doing business as Wealth Advocates.
