Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
Read MoreAuthor Archives: chase@carlson-law.com
Jeffrey Russell: FINRA Suspends Kovack, Russell Wealth Advisor
Former Morgan Stanley broker Jeffrey Russell (CRD# 2516610) was recently sanctioned in connection with allegations that he effected unauthorized mutual fund transactions in hundreds of customers’ accounts. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Kovack Advisors in San Clemente, California…. Read More »
Jonna Keller: $300K Complaint Against Ex-Sigma Advisor
Sarasota financial advisor Jonna Keller (CRD# 1983864) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, as well as a managing partner at First Security Investments.
Ryan Beishuizen: Fox Financial Advisor Lands Bond Complaint
Muskegon, Michigan financial advisor Ryan Beishuizen (CRD# 4884554) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Securities America, doing business as Fox Financial.
David Glienke: $100K Complaint Against ClearCoast Wealth Advisor
A recent investor complaint against Westlake Village, California financial advisor David Glienke (CRD# 5502866) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities, doing business as ClearCoast Wealth Management.
Darren Ting: FINRA Suspends Ex-JP Morgan Advisor
Former Cleveland financial advisor Darren Ting (CRD# 6814035) was recently suspended by FINRA in connection with allegations he made unauthorized discretionary trades. Financial Industry Regulatory Authority records show that the former JP Morgan Securities broker is currently registered as an investment advisor with Farther Finance Advisors.
Adam Cavise: Investor Complaint Against Ex-Spartan Advisor
New York City financial advisor Adam Cavise (CRD# 4273848) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Revere Securities, having previously been registered with Spartan Capital Securities.
Brian Mariash: UBS Advisor Lands Annuity Complaint
Sarasota, Florida financial advisor Brian Mariash (CRD# 4371979) allegedly recommended unsuitable equity-indexed annuities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.
Cheri Knight: $500K Complaint Against Strategic Financial Alliance
Foothill Ranch, California financial advisor Cheri Knight (CRD# 1854248) recently received an investor complaint alleging that unsuitable investments resulted in six-figure losses. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor registered with The Strategic Financial Alliance, doing business as Knight Asset Management.
Lance Vainik: Viking Financial Advisor Received $441K Complaint
A recent, denied investor complaint against Bingham Farms, Michigan financial advisor Lance Vainik (CRD# 1708526) alleged that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services, as well as the owner of Viking Financial Group.
Shaun Stein: $722K Complaint Against Ex-National Securities Advisor
Jersey City financial advisor Shaun Stein (CRD# 4873578) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with B. Riley Wealth Management, having previously been registered with National Securities Corporation.
