A recent, withdrawn investor complaint against Ogden, Utah financial advisor Steve Story (CRD# 2574091) alleges that he forged a customer’s...
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Brian Stern: $845K Complaint Against Advanced Financial Advisor
Rochester, Minnesota financial advisor Brian Stern (CRD# 3137402) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Osaic Wealth, having previously been registered with Signator Investors and TransAmerica Financial Advisors. He is also an… Read More »
David Gibbs: MML Fires Wayne Advisor over Loan Allegations
Wayne, Pennsylvania financial advisor David Gibbs (CRD# 2917334) was recently fired by MML Investors Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with J. Alden Associates.
Matt West & Patrick Mendenhall: USCA Denies $3.5mm Complaint
Houston, Texas financial advisors Matt West (CRD# 2554449) and Patrick Mendenhall (CRD# 1068809) recently received an investor complaint alleging seven-figure losses. Financial Industry Regulatory Authority records show that each is registered as a broker with USCA Securities and an investment advisor with US Capital Wealth Advisors.
Kirk Crossen: $6mm Complaint Against Ex-Morgan Stanley Advisor
A recent investor complaint against Carmel, Indiana financial advisor Kirk Crossen (CRD# 2742256) alleges that his conduct resulted in millions of dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates.
Jeffrey Lee: $40mm Complaint Against JP Morgan Advisor
Tampa, Florida financial advisor Jeffrey Lee (CRD# 4080774) 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 Securities, having previously been registered with Merrill Lynch.
Dave Stone: Stifel Advisor Faces 7-Figure Complaint
New York City financial advisor Dave Stone (CRD# 4219856) recently received an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Stifel Nicolaus & Company.
Craig Gould: Cabot Lodge Advisor Faces $300K REIT Complaint
Schaumburg, Illinois financial advisor Craig Gould (CRD# 2367293) recently received an investor complaint alleging that an REIT investment led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with World Equity Group and Cabot Lodge Securities.
Gino Rahman: Merrill Lynch Fires Michigan Advisor
Troy, Michigan financial advisor Gino Rahman (CRD# 2476187) was recently fired from Merrill Lynch in connection with allegations, among others, of improper outside business activities. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with LM Kohn & Company.
Peter Lawrence: American Portfolios Advisor Faces 6-Figure Complaint
Hauppauge, New York financial advisor Peter Lawrence (CRD# 2695687) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with American Portfolios Financial Services and American Portfolios Advisors, respectively.
Kyung Song: MML Advisor Receives $82K Fraud Complaint
East Hills, New York financial advisor Kyung Song (CRD# 2760764) recently received an investor complaint alleging fraud. Financial Industry Regulatory Authority records show that they are a broker and an investment advisor with MML Investors Services, having previously been registered with MSI Financial Services.
