Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Steve Bransburg: Gradient Advisor Fired by AllState
Conroe, Texas financial advisor Steve Bransburg (CRD# 1003470) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former AllState Financial Services representative is currently registered as a broker with Gradient Securities.
Leonard Suskind: UBS Advisor Received $1.5mm Complaint
A recent, denied investor complaint against Hallandale Beach, Florida financial advisor Leonard Suskind (CRD# 1140599) alleged that his conduct resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Fred Hilton: $500K Complaint Against LPL Advisor
Gainesville, Florida financial advisor Fred Hilton (CRD# 2161935) allegedly recommended unsuitable 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 LPL Financial, doing business as CAMPUS Investment Services.
Walter Schram: Ameriprise Advisor Lands $300K Complaint
A recent investor complaint against Farmington Hills, Michigan financial advisor Walter Schram (CRD# 1728096) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
James Peterson: Did Raymond James Advisor Misappropriate Funds?
St. Cloud, Minnesota financial advisor James Peterson (CRD# 1804629) recently received an investor complaint alleging that he misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services, and that he is a representative of Bremer Investments.
Steve Marotto: $550K Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Francisco, California financial advisor Steve Marotto (CRD# 5473140) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Dave Dunn: $8.8mm Complaint Against Dunn Wealth Advisor
Walnut Creek, California financial advisor Dave Dunn (CRD# 2819556) recently received an investor complaint alleging elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates, having previously been registered with Oppenheimer & Company.
Keith Baron: FINRA Bars Ex-Equity Services Advisor
A recent regulatory sanction against former Jericho, New York financial advisor Keith Baron (CRD# 3231494) barred him in connection with allegations that he misrepresented an energy investment. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Equity Services, though he is no longer registered as a broker.
John Mickelson: Suitability Complaint Against Wealth Advocates Advisor
Logan, Utah financial advisor John Mickelson (CRD# 2628700) allegedly recommended investments to generate commissions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with CreativeOne Securities and an investment advisor with Strategic Advocates, doing business as Wealth Advocates.
Brian Megibow: Why Did FourStar Advisor Resign from Ameriprise?
Fort Myers, Florida financial advisor Brian Megibow (CRD# 3083501) recently resigned from his former member firm while under review. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services broker is currently registered as an investment advisor with FourStar Wealth Advisors.
