Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Joel Johnson: Ex-Silver Oak Advisor Had $100K Investor Complaint
Recent investor complaints against Wethersfield, Connecticut financial advisor Joel Johnson (CRD# 1941908) allege that he recommended unsuitable alternative investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Silver Oak Securities broker is currently an investment advisor with Johnson Brunetti.
Karen Cunningham: $150K Complaint Against Kestra Advisor
Oklahoma City financial advisor Karen Cunningham (CRD# 1134960) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Kestra Investment Services and Kestra Advisory Services, respectively.
Burton Bartlett: Mequon Advisor Has GWG L Bond Complaint
A recent investor complaint against former Worden Capital Management advisor Burton Bartlett (CRD# 1038728) alleges that he unsuitably recommended GWG L bonds. Financial Industry Regulatory Authority records show that he is currently a broker with Landolt Securities in Mequon, Wisconsin.
Larry Burton: $379K Bond Complaint Against Westlake Village Advisor
Western International Securities financial advisor Larry Burton (CRD# 4297802) recently received an investor complaint alleging his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor in Westlake Village, California.
Michael O’Meara: Gateway Financial Advisor Has REIT Complaint
Georgetown, Texas financial advisor Michael O’Meara (CRD# 2652113) recently received an investor complaint alleging he engaged in misconduct relating to a real estate investment trust. Financial Industry Regulatory Authority records show that he is a broker with LPL Financial, doing business as Gateway Financial Partners.
Ex-Centaurus Advisor Robert Omohundro: Investor Complaints
Atlanta financial advisor Robert Omohundro (CRD# 2415942) recently received an investor complaint alleging he recommended unsuitable investments that suffered losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Alexander Capital, doing business as LCORE Wealth Management.
San Jose Advisor Kim Carson: Fraud Complaint
A recent investor complaint against Principal Securities financial advisor Kim Carson (CRD# 5576304) alleges that she committed fraud and other forms of misconduct. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in San Jose, California.
FINRA Suspends Aegis Advisor Joe Lascala
Melville, New York financial advisor Joe Lascala (CRD# 3070261) made unapproved trades in a customer’s account, according to a recent Financial Industry Regulatory Authority enforcement action. FINRA records show that he is a broker registered with Aegis Capital Corporation.
Kenneth Barroga: Ex-Crown Capital Advisor Has REIT Complaint
A recent investor complaint against former Watsonville, California financial advisor Kenneth Barroga (CRD# 2288752) reached a settlement of more than $150,000. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or an investment advisor, though he was most recently registered with Crown Capital Securities and did business as… Read More »
Ron Phillips: $250K Complaint Against Walnut Creek Advisor
Morgan Stanley financial advisor Ron Phillips (CRD# 2823393) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Walnut Creek, California.
