Melville, New York financial advisor Ken Kohn (CRD# 1575332) recently received an investor complaint alleging that he made unsuitable investment...
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Rick Umbarger: Raymond James Advisor Faced $186K Complaint
A recent, denied investor complaint against Newport Beach, California financial advisor Rick Umbarger (CRD# 3132496) alleged that he breached his fiduciary duty. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Ittai Dvir: $120K REIT Complaint Against Sentinel Advisor
North Bethesda, Maryland financial advisor Ittai Dvir (CRD# 5692050) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Sentinel Financial Group.
Hunter Jones: $75K DST Complaint Against Great Point Advisor
A recent investor complaint against Lakewood, Colorado financial advisor Hunter Jones (CRD# 5169688) alleges that he recommended an unsuitable Delaware Statutory Trust investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Great Point Capital.
Brady Lipp: $1mm Fraud Complaint Against NI Advisor
Milpitas, California financial advisor Brady Lipp (CRD# 1359835) recently received an investor complaint alleging that he committed fraud. Financial Industry Regulatory Authority records show that he is registered as a broker with NI Advisors and that he is the Principal Managing Director of One Alpha North Capital.
Dan Becraft: $2mm Options Complaint Against Morgan Stanley Advisor
A recent investor complaint against Seattle, Washington financial advisor Dan Becraft (CRD# 2877734) alleges 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.
Terry Herron: Inspired Healthcare Filing Lists New Frontier Advisor
Englewood, Colorado financial advisor Terry Herron (CRD# 1172497) is listed in a Form D filing for Inspired Healthcare Capital, a senior living development company that recently entered bankruptcy. Securities and Exchange Commission records show that he is currently registered as an investment advisor with New Frontier Wealth Management.
Edward Morrissey: Hornor, Ex-LPL Advisor Faces Complaint
Pittsburgh, Pennsylvania financial advisor Edward Morrissey (CRD# 1873249) recently received an investor complaint alleging that his conduct violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hornor Townsend & Kent, doing business as Morrissey Wealth Management Services.
Robert Sperber: $2.5mm Complaint Against Morgan Stanley Advisor
A recent investor complaint against Coral Gables, Florida financial advisor Robert Sperber (CRD# 2297059) alleges that his conduct resulted in damages of more than $2 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Nini Wu: Morgan Stanley Advisor Faces Investor Complaint
Kirkland, Washington financial advisor Nini Wu (CRD# 6572622) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Cetera.
Katy Zhao: $50K Complaint Against Morgan Stanley Advisor
A recent investor complaint against Pasadena, California financial advisor Katy Zhao (CRD# 5264406) alleges that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
