Former Arden Hills, Minnesota financial advisor Nicholas Stovall (CRD# 5581487) was recently sanctioned and barred in connection with allegations that...
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Ex-Concorde Advisor Gary Hughes Receives $150K Fraud Complaint
Hermosa Beach financial advisor Gary Hughes (CRD# 1700976) recently received an investor complaint alleging he committed elder abuse and engaged in other forms of misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Concorde Investment Services broker is currently an investment advisor with Hughes Wealth Management.
Frank Reynolds: Complaint Against Strategic Financial Alliance Broker
Daytona Beach financial advisor Frank Reynolds (CRD# 1366983) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with The Strategic Financial Alliance, doing business as Frank Reynolds & Company.
Thomas Lee: Raymond James Denies $250K Complaint Against Advisor
Rockville, Maryland financial advisor Thomas Lee (CRD# 2807587) received an investor complaint alleging that his conduct resulted in losses of $250,000. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Raymond James Financial Services.
Ron Filoramo: Barred Morgan Stanley Advisor Faces 6-Figure Complaints
Recent investor complaints against Fort Lauderdale financial advisor Ron Filoramo (CRD# 3270398) allege that his conduct resulted in combined damages of more than $800,000. Records maintained by the Financial Industry Regulatory Authority show that he was registered with Morgan Stanley until May 2023, while an industry publication states that he was barred by FINRA… Read More »
Raymond Sardiña: $1.5 Million Complaint Against Raymond James Advisor
Coral Gables financial advisor Raymond Sardiña (CRD# 3068885) allegedly recommended high-risk investments that led to seven-figure losses, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Raymond James & Associates.
Eric Dec: Did Ex-Emerson Equity Advisor Commit Fraud?
Former San Mateo financial advisor Eric Dec (CRD# 2185598) is involved in an investor complaint alleging he engaged in conduct that resulted in damages exceeding $100,000. Records maintained by the Financial Industry Regulatory Authority show that he was most recently registered as a broker with Emerson Equity. Mr. Dec’s BrokerCheck report discloses one investor… Read More »
Michael Fisher: Ameriprise Advisor Faces $100K Complaint
A recent investor complaint against Melville, New York financial advisor Michael Fisher (CRD# 4056114) alleges that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Wells Fargo Advisors.
Bill Borleis: GWG Complaint Against Arete Wealth Advisor
Nashville-area financial advisor Bill Borleis (CRD# 2285245) recently received an investor complaint alleging losses stemming from an investment in GWG Holdings. Financial Industry Regulatory Authority records show that the Spring Hill, Tennessee representative is currently registered as a broker and an investment advisor with Arete Wealth.
James Mayes: Western International Advisor Faces $100K Bond Complaint
Woodland Hills, California financial advisor James Mayes (CRD# 2879995) is involved in an investor complaint alleging his conduct resulted in six-figure losses. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Western International Securities.
Steven Karol: Ex-Joseph Stone Advisor Receives $141K Complaint
New York financial advisor Steven Karol (CRD# 7192377), also known as Szczepan Kosmaczewski and Steven Kostis, recently received an investor complaint alleging he made unauthorized transactions. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Craft Capital Management, having previously been… Read More »
