Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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Richard Brittain: Equitable Advisor Faces Variable Annuity Complaint
A recent investor complaint against Valencia, California financial advisor Richard Brittain (CRD# 5928857) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Equitable Advisors.
Jennifer McIntyre: Did Raymond James Advisor Misappropriate Funds?
Chattanooga financial advisor Jennifer McIntyre (CRD# 5853811) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Raymond James & Associates.
James Blaszyk: $400K Complaint Against Wells Fargo Advisor
A recent investor complaint against Boynton Beach, Florida financial advisor Jim Blaszyk (CRD# 5364851) alleges that his investment advice resulted in damages of $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Wells Fargo Clearing Services.
Joe Natoli: New York Fines Park Avenue Securities Advisor
New York City financial advisor Joe Natoli (CRD# 5364851) was recently sanctioned by the New York State Department of Financial Services in connection with alleged misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Park Avenue Securities.
Ronald Morse: FINRA Suspends David Lerner Advisor
White Plains, New York financial advisor Ronald Morse (CRD# 341008) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates and an investment advisor with Spirit of America Management Corporation.
Tom Bates: $500K Complaint Against Bates Financial Advisor
Columbus, Ohio financial advisor Tom Bates (CRD# 1037294) allegedly gave misleading investment advice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research. His website shows that he is a representative of Bates Financial, which offers securities and advisory… Read More »
Charlotte McConnell: Ex-Cetera Advisor Faces $300K Complaint
Fort Collins, Colorado financial Charlotte McConnell (CRD# 1161160) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James Financial Services.
John Davenport: $150K Complaint Against J. Davenport Advisor
Norwalk, Connecticut financial advisor John Davenport (CRD# 1448999) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Liberty Partners Financial Services broker is currently an investment advisor with J. Davenport Advisors.
Cissy Hutchinson: Synovus Securities Fires Athens Advisor
Former Athens, Georgia broker Cissy Hutchinson (CRD# 2067670) was recently fired from Synovus Securities in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that she is currently registered as an investment advisor with Lanier Financial Group.
Betty Friant: FNEX Capital Advisor Private Placement Complaint
Indianapolis financial advisor Betty Friant (CRD# 2122446) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker registered with FNEX Capital and a representative of Kay Properties & Investments.
