Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
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Paul Gomperz: Ex-National Securities Advisor Faces GWG Complaint
Liverpool, New York financial advisor Paul Gomperz (CRD# 224867) allegedly recommended an unsuitable GWG L bond, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with IBN Financial Services, having previously been registered with B. Riley Wealth Management and National Securities Corporation.
Loren Olson: $125K Complaint Against Retirement Resources Advisor
Overland Park financial advisor Loren Olson (CRD# 1245513) recently received an investor complaint alleging his conduct resulted in damages of more than $100,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with BB Graham & Company and an investment advisor with Retirement Resources.
West Coast Financial Advisor Debbie Cavanaugh: REIT Complaint
A recent investor complaint against Kalispell, Montana financial advisor Debbie Cavanaugh (CRD# 1268420) alleges that her conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as West Coast Financial.
David B. White: Financial Advisor Faces $200K Bond Complaint
A recent investor complaint against former Bloomfield Hills financial advisor David B. White (CRD# 1382131) alleges that his investment advice resulted in six-figure losses. Records provided by the Financial Industry Regulatory Authority show that he was most recently registered as a broker with Centaurus Financial, doing business as David B. White Financial.
Ted Franse: REIT Complaint Against Franse Financial Advisor
Fair Oaks financial advisor Ted Franse (CRD# 1418012) has been involved in multiple investor complaints alleging unsuitable recommendations and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with NI Advisors, doing business as Franse Financial Advisors.
Morgan Stanley Advisor Scott Schlett Faces $400K Complaint
Scott Schlett (CRD# 2111952), a financial advisor based in Paramus, New Jersey, recently received an investor complaint alleging his conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Morgan Stanley.
Spartan Advisor Michael Russo: Complaints Allege Misconduct
Garden City financial advisor Michael Russo (CRD# 3072489) has been involved in investor complaints alleging unsuitable recommendations, churning, and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker registered with Spartan Capital Securities.
Fred Chen: $100K Complaint Against Emerson Equity Advisor
Irvine, California financial advisor Fred Chen (CRD# 5766069) allegedly recommended unsuitable investments and engaged in other violations of FINRA rules, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Emerson Equity, having previously been registered with Arque Capital.
Cetera Advisor Enkofi John Faces Forgery Complaint
Westbury, New York financial advisor Enkofi John (CRD# 6175076) recently received an investor complaint alleging his conduct resulted in damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Cetera Investment Services, having previously been registered with Foresters Advisory Services.
Elan Sanker: Selling Away Complaint Against Merrill Lynch Advisor
Pennington, New Jersey financial advisor Elan Sanker (CRD# 5580543) recently received an investor complaint alleging he engaged in misconduct that resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
