Pasadena, California financial advisor Aaron Liu (CRD# 6085987) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry...
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Neal Nakagiri: $422K Complaint Against Ex-NPB Financial Advisor
Former Burbank financial advisor Neal Nakagiri (CRD# 722534) has received multiple investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with NPB Financial Services, where he was president and chief executive officer.
Steve Cummings: $250K Complaint Against Ex-Berthel Fisher Advisor
Former Fort Deposit, Alabama financial advisor Steve Cummings (CRD# 2274017) has received investor complaints alleging he misrepresented investments and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or as an investment advisor, though he was most recently registered with Berthel Fisher… Read More »
Thomas Bonds: $5 Million Complaint Against Morgan Stanley Advisor
San Francisco financial advisor Thomas Bonds (CRD# 1867556) recently received an investor complaint alleging his investment recommendations resulted in damages of $5 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Mark Williams: $100K Complaint Against Financial Gravity Advisor
Carmel-by-the-Sea financial advisor Mark Williams (CRD# 4061842) has received investor complaints alleging he recommended unsuitable and risky investments. Financial Industry Regulatory Authority records show that he is a broker with Kingswood Capital Partners and an investment advisor with Financial Gravity Family Office Services.
Mark Cline: GWG L Bond Complaints Against Wildwood Advisor
Former National Securities Corporation financial advisor Mark Cline (CRD# 3206962) has received more than a dozen settled or pending complaints alleging he engaged in various forms of misconduct. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor in Wildwood, Florida.
Rodney Scott: Birmingham Cetera Advisor Had UIT Complaint
Birmingham, Alabama financial advisor Rodney Scott (CRD# 5681912) recently received an investor complaint alleging he provided misleading advice regarding a unit investment trust (UIT) product. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisors, respectively.
John Lancaster: Ausdal Advisor Has GWG L Bond Complaint
Glen Ellyn, Illinois financial advisor John Lancaster (CRD# 1293652) recently received an investor complaint alleging he provided misleading information regarding an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ausdal Financial Partners.
Mike Elias: Bond Complaint Against Elite Wealth Advisor
Brentwood, California financial advisor Mike Elias (CRD# 1522834) has received an investor complaint alleging he provided misleading investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, and he is the owner of Elite Wealth Management.
Paul Pavelski: $50K Complaint Against Landolt Advisor
Antioch, Illinois financial advisor Paul Pavelski (CRD# 1843721) recently received an investor complaint alleging a risky corporate bond investment suffered losses. Financial Industry Regulatory Authority records show that Mr. Pavelski is a broker and an investment advisor with Landolt Securities.
Betsy Whipple: $500k-$1 Million Complaint Against Newbridge Advisor
A recent investor complaint against Hiko, Nevada financial advisor Betsy Whipple (CRD# 2703262) alleges that her investment recommendations resulted in damages of up to one million dollars. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Newbridge Securities Corporation. She is also the owner of BL Whipple… Read More »
