Former Sunrise, Florida financial advisor Shammi Samaroo (CRD# 6267861) was recently sanctioned and barred in connection with alleged rule violations....
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Sandy Steinberg: Bond Complaint Against Boca Raton AGP Advisor
A recent investor complaint against Boca Raton financial advisor Sandy Steinberg (CRD# 834205) alleges that his investment advice resulted in damages exceeding $350,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with AGP/Alliance Global Partners.
Chris Dukes: GWG L Bond Complaint Against Dukes Financial Advisor
An investor complaint against Thousand Oaks, California financial advisor Chris Dukes (CRD# 4712873) alleges that he recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with WestPark Capital, doing business as Dukes Financial and Insurance Services.
Jon Rice: ETF Complaint Against Raymond James Advisor
Louisville, Kentucky and George Island, Florida financial advisor Jon Rice (CRD# 4961184) allegedly recommended unsuitable investments, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investor advisor with Raymond James & Associates.
Armando Roman: $3.5 Million Complaint Against AXIOM Advisor
Scottsdale financial advisor Armando Roman (CRD# 4414526) has received two investor complaints alleging he over-concentrated unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records indicate that the former Independent Financial Group broker is currently an investment advisor with AXIOM Founders Family Office.
Aviva Miller: Vanguard Advisor Received $140K Complaint
Malvern, Pennsylvania financial advisor Aviva Miller (CRD# 7075785) was recently involved in an investor complaint alleging that her failure to follow instructions resulted in six-figure losses. Records provided by the Financial Industry Regulatory Authority indicate that she is a broker with Vanguard Marketing Corporation, an employee of The Vanguard Group, and an investment advisor… Read More »
Kevin Wesner: $1 Million Complaint Against UBS, Ex-Citi Advisor
A new investor complaint against Baltimore financial advisor Kevin Wesner (CRD# 2827165) alleges that his conduct resulted in damages of $1 million. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with UBS Financial Services, having previously been registered with Citigroup Global Markets.
Jay Craddock: Edward Jones Denies $220K Investor Complaint
Bridgeport, Texas financial advisor Jay Craddock (CRD# 3176206) recently received an investor complaint alleging his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Edward Jones.
Xenith Financial’s Randall Hall: $75K Suitability Complaint
A recent investor complaint alleges that Fort Worth financial advisor Randall Hall (CRD# 7067453) provided an unsuitable investment recommendation that resulted in 5-figure damages. Records provided by the Securities and Exchange Commission indicate that he is an investment advisor affiliated with Xenith Financial Advisory Services.
Ameriprise’s Brandon Harrington: FS Energy & Power Complaint
Williamsville financial advisor Brandon Harrington (CRD# 2842967) allegedly recommended unsuitable alternative investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Michael Risko: REIT Allegations Against Infinex Advisor
Hyde Park, New York financial advisor Michael Risko (CRD# 1975573) is involved in an investor dispute 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 Infinex Investments, where he is also registered with the firm’s offices in Kingston… Read More »
