Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Vanessa Ly: Why Did Cetera Advisor Resign from Morgan Stanley?
Newport Beach, California financial advisor Vanessa Ly (CRD# 4664226) recently resigned from her former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is currently registered as a broker and an investment advisor with Cetera Investment Services and Cetera Wealth Advisers, respectively.
Tim Marshall: Ex-Great Point Advisor Receives DST Complaint
Chicago, Illinois financial advisor Tim Marshall (CRD# 2037031) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital and the owner of TM 1031 Exchange, having previously been registered with Great Point Capital.
Jacob Luther: Fifth Third Advisor Lands Misrepresentation Complaint
A recent, denied investor complaint against Jacksonville, Florida financial advisor Jacob Luther (CRD# 5915075) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Fifth Third Securities.
Billy Lodico: $200K Complaint Against Craft Capital Advisor
Garden City, New York financial advisor Billy Lodico (CRD# 6096241) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Craft Capital Management, having previously been registered with Alexander Capital.
Kevin Birkner: $1.4mm Complaint Against Morgan Stanley Advisor
A recent investor complaint against Shrewsbury, New Jersey financial advisor Kevin Birkner (CRD# 5831301) alleges that his advice resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Robert Baker: $300K Complaint Against Ex-Stirlingshire Advisor
Mission Viejo, California financial advisor Robert Baker (CRD# 2878972) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Colorado Financial Service Corporation, doing business as Matrix Equity Capital.
Paul Baldino: Lake Financial Advisor Lands Excessive Trading Complaint
Port Washington, Wisconsin financial advisor Paul Baldino (CRD# 2024264) allegedly made excessive trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Lake Financial Group.
Paolo Bicego: Suitability Complaint Against Wells Fargo Advisor
Beverly Hills, California financial advisor Paolo Bicego (CRD# 5211610) recently received an investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Stephen Meskan: $250K Complaint Against Cabot Lodge Advisor
Chicago, Illinois financial advisor Stephen Meskan (CRD# 2566829) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cabot Lodge.
Mike Kolacz: GWG L-Bond Complaint Against Epstein & Kolacz Advisor
Rockwall, Texas financial advisor Mike Kolacz (CRD# 2566829) allegedly recommended an unsuitable investment in GWG Holdings, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Epstein & Kolacz Wealth Management.
