Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
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Michael Murray: SEC Investigates NYC Laidlaw Advisor
New York City financial advisor Michael Murray (CRD# 5034449) is under investigation by the Securities and Exchange Commission in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is a broker with Laidlaw & Company.
Integrated Financial Partners’ Cole Smith: $100K Oil & Gas Complaint
Fairfax, Virginia financial advisor Cole Smith (CRD# 5327357) is involved in an investor dispute alleging his advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with LPL Financial and an investment advisor with Integrated Wealth Concepts, doing business as Integrated Financial Partners.
Brent Burgesser: Why Did Brookwood Advisor Resign from Belpointe?
Phoenix financial advisor Brent Burgesser (CRD# 3278147) recently resigned from Belpointe Asset Management in connection with alleged policy violations. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former International Assets Advisory broker is currently an investment advisor with Brookwood Investment Group.
Todd Cirella: FINRA Sanctions Laidlaw Advisor over Trading Allegations
Melville, New York financial advisor Todd Cirella (CRD# 2396336) allegedly recommended excessive and unsuitable trades in a senior customer’s account, according to a recent regulatory sanction. Financial Industry Regulatory Authority records indicate that he is a broker with Laidlaw & Company.
Dan McPherson: $500K Complaint Against Ex-Cetera Advisor
An investor complaint against Idaho Falls financial advisor Dan McPherson (CRD# 4964802) alleges that his investment advice resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Cetera Advisors broker is currently an investment advisor with CG Advisory Services.
Orion Wealth’s Antoine Shamlee Lands $224K Investor Complaint
A new investor complaint against Boca Raton financial advisor Antoine Shamlee (CRD# 4750442) alleges that his conduct resulted in damages of more than $200,000. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation, doing business as Orion Wealth Management.
Michael Finnie: Regulators Sanction LPL/Finnie Capital Advisor
Midlothian, Virginia financial advisor Michael Finnie (CRD# 2112495) allegedly placed investors in securities they had no experience investing in, according to a recent regulatory enforcement action. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with LPL Financial, doing business as Finnie Capital Management.
Donald McKiernan: Landolt Advisor Denies Negligence Complaints
Investor complaints against Antioch, Illinois financial advisor Donald McKiernan (CRD# 1305965) allege that he failed to supervise the activities of a broker who conducted a “fraudulent scheme.” Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Landolt Securities, where he is Chief Executive Officer.
Jon Rustad: $343K Oil & Gas Complaint Against Premier Wealth Advisor
Scottsdale financial advisor Jon Rustad (CRD# 2210391) has received multiple investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Premier Wealth Strategies.
Robert Li: REIT Complaint Against RL Wealth Management Advisor
Robert Li (CRD# 4068255), a financial advisor based in Naperville, allegedly recommended unsuitable REIT and equities investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, where he is a representative of RL Wealth Management Group.
