Former New York City and Miami financial advisor Chuck Roberts (CRD# 2064602) was recently sanctioned and barred in connection with...
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Stewart Ginn: $300K Complaint Against Crosby Investment Group Advisor
San Diego financial advisor Stewart Ginn (CRD# 4503197) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Navian Capital Securities and Independent Financial Group, doing business as Crosby Investment Group. He is registered with… Read More »
Robbie Msallem: Citigroup Advisor Denies $2 Million Complaint
Glendale, California financial advisor Robbie Msallem (CRD# 3199470) recently received an investor complaint alleging his conduct resulted in damages of $2 million. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Citigroup Global Markets.
Dharmesh Vora: Vora Wealth Advisor Denies 6-Figure Investor Complaints
Flagstaff financial advisor Dharmesh Vora (CRD# 2629494) is involved in multiple recent investor complaints alleging cumulative damages of more than $1 million. Records provided by the Securities and Exchange Commission indicate that he is an investment advisor with Vora Wealth Management.
Gene Thomas: $322K Complaint Against MML Advisor
A new investor complaint against Oklahoma City financial advisor Gene Thomas (CRD# 2065557) alleges that his conduct resulted in damages of more than $300,000. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with MML Investors Services, having previously been registered with MSI Financial Services.
Bill Schumann: H. Beck Denied Non-Traded REIT/BDC Complaint
Wheaton, Illinois financial advisor Bill Schumann (CRD# 1604894) has received multiple investor complaints alleging his conduct resulted in damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Grove Point Investments and Grove Point Advisors, doing business as Schumann Financial.
Gary Owens: $133K Complaint Against Owens Wealth Advisor
Boca Raton financial advisor Gary Owens (CRD# 1048781) is involved in an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority and other publicly available records indicate that he is a broker and an investment advisor with Merrill Lynch, where he is a member of the Owens Wealth Management Group.
Santiago Orchard’s Jeff Gielau: Investor Complaint Seeks $1 Million
A recent investor complaint against Orange, California financial advisor Jeff Gielau (CRD# 2378363) alleges seven-figure damages in connection with a variable annuity investment. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Fortune Financial Services, doing business as Santiago Orchard Financial and Insurance Services.
AJ Davis: $4 Million Complaint Against Edward Jones Advisor
A new investor complaint against Frisco, Texas financial advisor AJ Davis (CRD# 4746025) alleges that his conduct resulted in damages of more than $4 million. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Edward Jones.
Jeffrey Tucker: Bond Complaint Against Ocala-Based Truist Advisor
Ocala, Florida financial advisor Jeffrey Tucker (CRD# 1974408) allegedly provided misleading information to an investor, according to a recent complaint. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Truist Investment Services, having previously been registered with BB&T Securities.
Eric Tom: $100K REIT Complaint Against Former MSI Advisor
East Hills, New York financial advisor Eric Tom (CRD# 1890823) is involved in multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with MML Investors Services, having previously been registered with MSI Financial Services.
