Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
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Jeffrey Lawson: Fifth Third Securities Denies $2.5 Million Complaint
A recent investor complaint against Florence, Kentucky financial advisor Jeffrey Lawson (CRD# 3257793) alleged that his conduct resulted in losses exceeding $2 million. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Fifth Third Securities.
LPL Advisor Brian Bates Faces ETF Complaint
Phoenix financial advisor Brian Bates (CRD# 2318413) is involved in an investor complaint alleging he failed to follow a customer’s instructions. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with LPL Financial, having previously been registered with PNC Investments.
Carol Lemoult: $625K Complaint Against Ex-Wells Fargo Advisor
Former Irvine, California financial advisor Carol Lemoult (CRD# 331681) allegedly over-concentrated investments in a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that the former Wells Fargo representative is currently not registered with any broker-dealer firm.
Peter Shen: $1.5 Million Complaint Against Former IFG Advisor
A recent investor complaint against Orange, California financial advisor Peter Shen (CRD# 5769894) alleges that his conduct resulted in damages exceeding $1 million. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with NI Advisors, having previously been registered with Independent Financial Group.
Matthew Stratman: Bond Complaint Against Western International Advisor
Los Angeles-area financial advisor Matthew Stratman (CRD# 5834026) is involved in an investor complaint alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Western International Securities, having previously been registered with Merrill Lynch.
Carolyn Valentine: $471K TIC Complaint Against Ex-H. Beck Advisor
A recent investor complaint against Canton, Ohio financial advisor Carolyn Valentine (CRD# 2532412) alleges that her conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker registered with Cambridge Investment Research, having formerly been registered with H. Beck.
Bay Creek Acquisitions: Seven Charged in Alleged Tax Shelter Scheme
The US Department of Justice recently indicted seven individuals on charges they conspired to commit fraud in connection with the promotion and appraisal of syndicated conservation easements, including Bay Creek Acquisitions. According to a press release published by the DOJ on March 1, 2022, the individuals indicted are Jack Fisher, James Sinnott, Kate Joy,… Read More »
Raymond James Fires Jean Coulanges, Boca Raton Advisor
Boca Raton financial advisor Jean Coulanges (CRD# 7410568) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Raymond James representative is currently a broker and investment advisor with Alliance Global Partners.
Cynthia Couyoumjian: $136K Complaint Against Cinergy Advisor
Tustin, California financial advisor Cynthia Couyoumjian (CRD# 1456630) is involved in multiple recent investor complaints alleging she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Independent Financial Group, doing business as Cinergy Financial.
Duane Pellman: Carlson Law Files Claim Against Excel Wealth Management
Carlson Law represents eleven investors who lost money investing with Duane Pellman and have filed an arbitration against Excel Wealth Management and others. This comes after the Surf City, North Carolina financial advisor resigned from Excel in connection with alleged rule violations.
