New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Mark Elias: Houston Advisor Lands Option Overlay Complaints
Several recent investor complaints allege that UBS Financial Services advisor Mark Elias (CRD# 2938707) misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Houston, Texas.
Don Harrell: Suitability Complaint Against Morgan Stanley Advisor
Laguna Niguel financial advisor Don Harrell (CRD# 2222409) allegedly made unsuitable recommendations, according to a recent investor complaint against him. Records maintained by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Morgan Stanley. His past registrations include Merrill Lynch and Banc of America Investment Services.
Stephen Bush, Weddington Advisor, Has Northstar Healthcare Complaint
A new investor complaint against Capital Investment Group advisor Stephen Bush (CRD# 1898917) alleges his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the broker and investment advisor is currently registered with Capital Investment Group and Capital Investment Advisory Services, respectively.
Mappa Wealth Advisor Mark Mappa: Oil & Gas Complaints
Two recent investor complaints detail allegedly unsuitable investment recommendations involving Mark Mappa (CRD# 1874503), a broker and an investment advisor based in Northbrook, Illinois. Financial Industry Regulatory Authority records show that he is a representative of Woodbury Financial Services, having formerly been registered with Kestra. He is the president of Mappa Wealth Management.
Donavan Hilsabeck: CD Complaint Against Las Vegas Advisor
The performance of a structured certificate of deposit is at issue in a recent complaint against Las Vegas broker Donavan Hilsabeck (CRD# 1503039). Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Richard Reames: Robert W. Baird Denies Churning Complaint
Richard Reames (CRD# 712401), a financial advisor based in Ashland, Kentucky, recently received an investor complaint alleging his conduct led to damages exceeding $200,000. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Robert W. Baird & Company.
Investor Files Complaint Against Karen March, Coastal Equities Advisor
A recent investor complaint against Roswell, Georgia financial advisor Karen March (CRD# 4021533) alleges she provided misleading information about the investments she recommended. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Coastal Equities.
Eric Afakan: Why Did Cambridge Investment Research Broker Resign?
Former Cambridge Investment Research broker Eric Afakan (CRD# 2563297) recently resigned from the firm in connection to alleged violations of firm rules. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he remains an investment advisor with International Assets Investment Management. He is also a managing member of Signature Financial Group.
Offshore Annuity Complaint Against Infinex’s Eric Garcia
Coral Gables financial advisor Eric Garcia (CRD# 5909532) allegedly recommended an unsuitable annuity, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Infinex Investments, and that he is also a financial consultant with Popular Community Bank.
Charles Zheng: Investor Alleges Wells Fargo Advisor Borrowed Money
A recent investor complaint against San Ramon, California financial advisor Charles Zheng (CRD# 5517193) alleges that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that Mr. Zheng is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services.
