New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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New Haven Advisor Jarrod Slater Receives Investor Complaint
Wells Fargo Clearing Services financial advisor Jarrod Slater (CRD# 4407013) recently received an investor complaint alleging his conduct resulted in damages exceeding $400,000. Financial Industry Regulatory Authority records show that Mr. Slater is currently a broker and an investment advisor based in New Haven, Connecticut.
Ameriprise’s Mandy Woo: Investor Alleges Misconduct
Irvine, California financial advisor Mandy Woo (CRD# 4179009) recently received an investor complaint alleging her conduct resulted in damages of more than $200,000. Financial Industry Regulatory Authority records show that Ms. Woo is a broker and an investment advisor with Ameriprise Financial Services.
New GWG L Bond Complaint Against Willy Miranda, Ausdal Advisor
Oakbrook Terrace, Illinois financial advisor Willy Miranda (CRD# 3273284) recently received an investor complaint alleging that a GWG L bond investment resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ausdal Financial Partners, having previously been registered with Moloney Securities.
UBS Advisor Michael Hamilton: Suitability Complaint
A recent investor complaint against Leawood, Kansas financial advisor Michael Hamilton (CRD# 2263524) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
GWG Complaint Against Tim Scanlon, Scottsdale Advisor
Arque Capital financial advisor Tim Scanlon (CRD# 1968597) recently received an investor complaint alleging that investments in GWG Holdings resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.
GWG Investor Files Complaint Against Former NPB Advisor Fred Easter
Sandy, Utah financial advisor Fred Easter (CRD# 74758) recently received an investor complaint alleging his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Independent Financial Group, having formerly been registered with NPB Financial Group.
Complaint: Baltimore Advisor Jeremy Reed Failed to Follow Instructions
UBS Financial Services advisor Jeremy Reed (CRD# 5929998) allegedly failed to follow a customer’s instructions, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Baltimore, Maryland.
New Investor Complaint Against Sun City Advisor Jeffrey McKee
A recent investor complaint against Wells Fargo Clearing Services financial advisor Jeffrey McKee (CRD# 5721657) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Sun City, Brook, Winslow, and Surprise, Arizona.
Cathay Bank Advisor Grace Guo Receives Investor Complaint
Monterey Park, California financial advisor Grace Guo (CRD# 4201624) has received multiple investor complaints, including one that alleges half a million dollars in damages. Financial Industry Regulatory Authority records show that she is a representative of Cathay Bank Wealth Management, which offers securities and advisory services through Cetera Investment Services and Cetera Investment Advisors.
SEC Investigates Cola Wealth’s Atul Makharia
Lexington, South Carolina financial advisor Atul Makharia (CRD# 5070762) is the recipient of multiple investor complaints alleging he recommended unsuitable, high-risk investments. Financial Industry Regulatory Authority records show that the Centaurus Financial broker, doing business as Cola Wealth Advisors, is also under investigation by the Securities and Exchange Commission.
