First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Joyce Thomas: $738K Complaint Against JTW Financial Advisor
San Gabriel, California financial advisor Joyce Thomas (CRD# 2713664) is involved in an investor complaint alleging her recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records indicate that she is a broker and an investment advisor with Independent Financial Group, doing business as JTW Financial Services.
Manuel Melendez: UBS Advisor Faces $448K Complaint
A recent investor complaint against San Juan advisor Manuel Melendez (CRD# 4648278) details allegations involving unsuitable outside business ventures. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with UBS Financial Services.
Antoine Sabah: Why Did FINRA Bar Insigneo Broker?
Beverly Hills financial advisor Antoine Sabah (CRD# 4210987) was recently sanctioned in connection with alleged private securities transactions. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Insigneo Securities broker is currently an investment advisor with Galliott Capital Advisors.
Jimmy Monken: $1 Million Complaint Against Morgan Stanley Advisor
Clayton, Missouri financial advisor Jimmy Monken (CRD# 5765921) is involved in an investor complaint alleging damages of more than $1 million. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Morgan Stanley.
Morgan Stanley’s Sean Righter Lands $1.5 Million Complaint
Irvine, California financial advisor Sean Righter (CRD# 5419832) recently received an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Aubrey Lee: $175K Complaint Against Merrill Lynch Advisor
A recent investor complaint against Farmington Hills, Michigan financial advisor Aubrey Lee (CRD# 1685532) alleges that a variable annuity investment resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Merrill Lynch.
Brian Everett: $114K Complaint Against Everett Financial Group Advisor
Dallas financial advisor Brian Everett (CRD# 1250585) allegedly provided investment advice that resulted in six-figure losses, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Cetera Advisors and Cetera Investment Advisers, doing business as Everett Financial Group.
Maria Gasparro: New Investor Complaint Against Ex-Merrill Advisor
Melville, New York financial advisor Maria Gasparro (CRD# 1250585) allegedly misappropriated customer funds, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that she is a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.
Shim Plotkin: $300K Complaint Against Plotkin Financial Advisor
A recent investor complaint against Chevy Chase, Maryland financial advisor Shim Plotkin (CRD# 2431863) alleges that his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Independent Financial Group and an investment advisor with Plotkin Financial Advisors.
Clayton Shum: Why Did Grove Point Fire Burlingame Advisor?
Burlingame financial advisor Clayton Shum (CRD# 4412927) was recently fired from Grove Point Investments in connection with allegations he violated firm policies. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with Aegis Capital.
