NFN8 Group, Inc., an Austin, Texas company that sold investors interests in cryptocurrency-mining equipment and “hosting” arrangements, filed for Chapter...
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Steven Sharp: Did Wells Fargo Advisor Make Unauthorized Transfer?
Jackson, Mississippi financial advisor Steven Sharp (CRD# 3178563) recently received an investor complaint alleging that he made an unauthorized transfer. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Parker Brean: Hilltop Advisor Faces Excessive Trading Complaint
A recent investor complaint against San Diego financial advisor Parker Brean (CRD# 5507026) alleges that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hilltop Securities.
Dick Hagan: $400K Complaint Against MassMutual Advisor
Wauwatosa, Wisconsin financial advisor Dick Hagan (CRD# 2392157) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, or MassMutual.
Tom Ley: Wells Fargo Advisor Faces Investor Complaint
Toms River, New Jersey financial advisor Tom Ley (CRD# 1127048) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Steve Nielsen: Bond Complaints Against Centaurus Advisor
Recent investor complaints against Gilbert, Arizona financial advisor Steve Nielsen (CRD# 4184826) allege that he recommended unsuitable, high-risk investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Nielsen Wealth Management.
Sam Prapaniku: $115K Complaint Against Ex-Bancorp Advisor
Costa Mesa, California financial advisor Sam Prapaniku (CRD# 5499421) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with US Bancorp Investments.
Mike McFeeley: Academy Advisor Lands 6-Figure Oil & Gas Complaints
York, Pennsylvania financial advisor Mike McFeeley (CRD# 5505995) allegedly recommended unsuitable oil and gas investments, according to multiple investor complaints. Financial Industry Regulatory Authority records show that he is registered with Lincoln Financial Advisors Corporation. He is also the owner of Academy Financial.
Matt Hiss: Legacy Financial Advisor Faces $125K GWG Complaint
Atwood, Kansas financial advisor Matt Hiss (CRD# 5386963) allegedly misrepresented an investment in GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with IFP Securities and an investment advisor with Independent Financial Partners, doing business as Legacy Financial Solutions.
Zach Taylor: $426K Complaint Against Saxony Capital Advisor
Newport Beach, California financial advisor Zach Taylor (CRD# 6074776) allegedly made unauthorized trades and committed elder abuse, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Saxony Securities broker, who did business as 9Dot Wealth, is currently an investment advisor with Saxony Capital… Read More »
Gregory Whelan: Merrill Lynch Advisor’s Client Files $2mm Complaint
A recent investor complaint alleges that Fort Lauderdale financial advisor Gregory Whelan (CRD# 5247677) made investment recommendations that resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, where he is a member of MWD Wealth Management Group.
