Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
Read MoreAuthor Archives: chase@carlson-law.com
Cheryl Kitashima: Bond Complaint Against Centaurus Advisor
Seattle financial advisor Cheryl Kitashima (CRD# 729389) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as Kitashima Wealth Advisors.
Kathryn Hackney: SchoolsFirst Advisor Faces $150K REIT Complaint
Orange, California financial advisor Kathryn Hackney (CRD# 1548894) recently received an investor complaint alleging that she recommended unsuitable REITs. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with LPL Financial, doing business as SchoolsFirst Investment Services.
Phillip Atteberry: Creative Planning Advisor Lands $5mm Complaint
Redmond, Oregon financial advisor Phillip Atteberry (CRD# 4247195) recently received an investor complaint alleging that he committed fraud resulting in seven-figure damages. Securities and Exchange Commission records show that he is an investment advisor registered with Creative Planning, having previously been registered with Gupta Wealth Management.
Financial Advisors Are Now Paying College Athletes Through NIL
In the last few months, I have seen evidence of at least three financial advisory firms offering NIL endorsement deals to college athletes. In other words, the financial advisor is paying the athlete for an endorsement. There are likely additional firms doing the same already and it will almost certainly become a new trend… Read More »
Josh Bradley: $100K Complaint Against Ex-Voya Advisor
Columbia, South Carolina financial advisor Josh Bradley (CRD# 5174430) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Voya Financial advisor is currently registered with Capital City Financial Partners.
Dan King: FINRA Sanctions Ex-Newbridge Advisor over Margin Trades
San Diego financial advisor Dan King (CRD# 5954543) was recently sanctioned and suspended in connection with allegations of unsuitable margin trading. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Kingswood Capital Partners and Kingswood Wealth Advisors, respectively.
Jim Geake: REIT Complaints Against Madison Avenue Advisor
Skokie financial advisor Jim Geake (CRD# 2629008) has received investor complaints alleging that he recommended unsuitable alternative investments, including NorthStar Healthcare REIT and Hospitality Investors Trust. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Madison Avenue Securities, doing business as Wayne Messmer & Associates.
Christopher Grano: $370K Complaint Against Ex-Cetera Advisor
A recent investor complaint against Islandia, New York financial advisor Christopher Grano (CRD# 2937422) alleges that his investment advice resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as The Grano Group.
Dan Curtin: JP Morgan Advisor Faces $40 Million Complaint
Boston financial advisor Dan Curtin (CRD# 2213788) recently received an investor complaint alleging that his conduct resulted in eight-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan.
Amy Cranfill: Stifel Nicolaus Denies $300K Complaint
Redlands, California financial advisor Amy Cranfill (CRD# 6629436) recently received an investor complaint that sought six-figure damages and was denied. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Stifel Nicolaus & Company.
