Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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Kyung Song: MML Advisor Receives $82K Fraud Complaint
East Hills, New York financial advisor Kyung Song (CRD# 2760764) recently received an investor complaint alleging fraud. Financial Industry Regulatory Authority records show that they are a broker and an investment advisor with MML Investors Services, having previously been registered with MSI Financial Services.
Samuel Julian: GWG Complaint Against Ausdal Advisor
Carmel, Indiana financial advisor Samuel Julian (CRD# 4488869) recently received an investor complaint relating to an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Ausdal Financial Partners.
Joanne Farace: David Lerner Advisor Faces $100K Energy Fund Complaint
A recent investor complaint against Lawrenceville, New Jersey financial advisor Joanne Farace (CRD# 4837013) alleges that she provided unsuitable investment advice that resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker registered with David Lerner Associates.
Ian Geeves: $400K Complaint Against Ex-LPL Advisor
Carlsbad, California financial advisor Ian Geeves (CRD# 5328479) recently received an investor complaint alleging he misappropriated funds. Financial Industry Regulatory Authority records show that he is a broker registered with Vanderbilt Securities and an investment advisor registered with Vanderbilt Advisory Services.
Todd McBride: Options Complaint Against Morgan Stanley Advisor
Huntsville, Alabama financial advisor Todd McBride (CRD# 5743641) recently received an investor complaint relating to a covered call options strategy. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, whose website describes him as a member of the Monte Sano Group.
Bob Lorente: $250K REIT Complaint Against Aurora Advisor
A recent investor complaint against Troy, Michigan financial advisor Bob Lorente (CRD# 1425180) alleges that he recommended unsuitable real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that he is registered as a broker with Aurora Securities and an investment advisor with Secure Asset Management.
Thomas Hamlin: $355K Complaint Against Somerset Securities Advisor
Portland, Oregon financial advisor Thomas Hamlin (CRD# 2208505) allegedly recommended an unsuitable investment in iCap Equities, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Somerset Securities and an investment advisor with Somerset Wealth Management.
Mark MacArthur: SEC Sanctions Ausdal, M2 Capital Advisor
Valencia, California financial advisor Mark MacArthur (CRD# 2411397) was recently sanctioned by the Securities and Exchange Commission in connection with allegations he violated securities law. Financial Industry Regulatory Authority records show that he is a broker with Ausdal Financial Partners and an investment advisor with M2 Capital Advisors. Mr. MacArthur’s BrokerCheck report discloses the… Read More »
Megan Schneider: Hurley Financial Advisor Faces $519K Complaint
A recent investor complaint against Corvallis, Oregon financial advisor Megan Schneider (CRD# 4458332) alleges that her conduct resulted in damages exceeding $500,000. Financial Industry Regulatory Authority records show that she is a broker with Geneos Wealth Management and an investment advisor with Hurley Financial Group.
Christopher Lane: Merrill Lynch Fires Lubbock Advisor
Lubbock, Texas financial advisor Christopher Lane (CRD# 5255199) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Merrill Lynch representative is currently registered as a broker with International Assets Advisory and an investment advisor with International Assets Investment Management.
