A recent, withdrawn investor complaint against Ogden, Utah financial advisor Steve Story (CRD# 2574091) alleges that he forged a customer’s...
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Samuel Julian: GWG Complaint Against Ausdal Advisor
Carmel, Indiana financial advisor Samuel Julian (CRD# 4488869) recently received an investor complaint relating to an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Ausdal Financial Partners.
Joanne Farace: David Lerner Advisor Faces $100K Energy Fund Complaint
A recent investor complaint against Lawrenceville, New Jersey financial advisor Joanne Farace (CRD# 4837013) alleges that she provided unsuitable investment advice that resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker registered with David Lerner Associates.
Ian Geeves: $400K Complaint Against Ex-LPL Advisor
Carlsbad, California financial advisor Ian Geeves (CRD# 5328479) recently received an investor complaint alleging he misappropriated funds. Financial Industry Regulatory Authority records show that he is a broker registered with Vanderbilt Securities and an investment advisor registered with Vanderbilt Advisory Services.
Todd McBride: Options Complaint Against Morgan Stanley Advisor
Huntsville, Alabama financial advisor Todd McBride (CRD# 5743641) recently received an investor complaint relating to a covered call options strategy. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, whose website describes him as a member of the Monte Sano Group.
Bob Lorente: $250K REIT Complaint Against Aurora Advisor
A recent investor complaint against Troy, Michigan financial advisor Bob Lorente (CRD# 1425180) alleges that he recommended unsuitable real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that he is registered as a broker with Aurora Securities and an investment advisor with Secure Asset Management.
Thomas Hamlin: $355K Complaint Against Somerset Securities Advisor
Portland, Oregon financial advisor Thomas Hamlin (CRD# 2208505) allegedly recommended an unsuitable investment in iCap Equities, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Somerset Securities and an investment advisor with Somerset Wealth Management.
Mark MacArthur: SEC Sanctions Ausdal, M2 Capital Advisor
Valencia, California financial advisor Mark MacArthur (CRD# 2411397) was recently sanctioned by the Securities and Exchange Commission in connection with allegations he violated securities law. Financial Industry Regulatory Authority records show that he is a broker with Ausdal Financial Partners and an investment advisor with M2 Capital Advisors. Mr. MacArthur’s BrokerCheck report discloses the… Read More »
Megan Schneider: Hurley Financial Advisor Faces $519K Complaint
A recent investor complaint against Corvallis, Oregon financial advisor Megan Schneider (CRD# 4458332) alleges that her conduct resulted in damages exceeding $500,000. Financial Industry Regulatory Authority records show that she is a broker with Geneos Wealth Management and an investment advisor with Hurley Financial Group.
Christopher Lane: Merrill Lynch Fires Lubbock Advisor
Lubbock, Texas financial advisor Christopher Lane (CRD# 5255199) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Merrill Lynch representative is currently registered as a broker with International Assets Advisory and an investment advisor with International Assets Investment Management.
Susan & Ryan Moseley: Investment Advisors Face Investor Complaint
A pending investor complaint against Bradenton, Florida financial advisors Susan Moseley (CRD# 871967) & Ryan Moseley (CRD# 5160880) alleges they failed to protect a client from downside risk. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Royal Alliance Associates brokers are currently registered as investment advisors with Moseley… Read More »
