Westlake, Ohio financial advisor Steven Rini (CRD# 4255247) recently received an investor complaint alleging that his advice resulted in six-figure...
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J.R. Thacker: $340K Complaint Against Thacker & Associates Advisor
Bristol, Virginia financial advisor J.R. Thacker (CRD# 2754773) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Center Street Securities, doing business as Thacker and Associates. He is an investment advisor with Arete Wealth Management.
Matias Cavalieri: $2.9mm complaint Against Morgan Stanley Advisor
Miami financial advisor Matias Cavalieri (CRD# 2972465) has received an investor complaint alleging his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, and that he received another investor complaint in 2020.
Morgan Stanley Advisor Juan Elwaw Faces $2.8mm Complaint
A recent investor complaint against Miami financial advisor Juan Elwaw (CRD# 2299668) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Sanctuary Advisor Bill Schellenberg: Private Placement Complaint
Aliso Viejo, California financial advisor Bill Schellenberg (CRD# 2376086) allegedly provided unsuitable investment advice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sanctuary Securities.
Craig Emerson: $215K Complaint Against Fourest Advisor
A recent investor complaint against Greenwood Village financial advisor Craig Emerson (CRD# 2761245) alleges that his conduct resulted in six0figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisor Networks, as well as a representative of Fourest LLC.
John Marmion: Ohio Sanctions UBS Financial Advisor
Columbus, Ohio financial advisor John Marmion Jr. (CRD# 1139175) allegedly violated Ohio law, according to a sanction by the state’s securities authorities. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s office in Phoenix, Arizona.
Jason Mieras: $250K Complaint Against American Portfolios Advisor
Lake Como, New Jersey financial advisor Jason Mieras (CRD# 2850648) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with American Portfolios Financial Services.
John Demertzis: LPL Advisor Faces $700K Real Estate Complaint
East Setauket financial advisor John Demertzis (CRD# 2690132) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, having previously been registered with Chase Investment Services.
Russell Conrad: Princeton Equity Advisor Faces 7-Figure Complaint
A recent investor complaint against Lewiston, New York financial advisor Russell Conrad (CRD# 2746778) alleges his advice resulted in damages as high as $5 million. Financial Industry Regulatory Authority records show that the former Arkadios Capital representative is a broker with Coastal Equities, doing business as Princeton Equity.
Kenji Saito: Ex-Centaurus Advisor Lands $75K Bond Complaint
Santa Barbara financial advisor Kenji Saito (CRD# 5695201) allegedly sold an unsuitable and high-risk bond investment, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that the former Centaurus Financial broker is currently an investment advisor with HBW Advisory Services.
