Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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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 »
New Complaint Against SWAN Financial’s Paul Murphy
Ocala, Florida financial advisor Paul Murphy (CRD# 5132291) recently received an investor complaint alleging more than $400,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Calton & Associates, doing business as SWAN Financial Services.
Stella Lu: $1 Million Complaint Against Former Sunnyvale Advisor
Former Transamerica Financial Services advisor Stella Lu (CRD# 6270026) recently received an investor complaint alleging her recommendations led to seven-figure losses. Financial Industry Regulatory Authority records show that she was most recently registered as a broker and an investment advisor in Sunnyvale, California.
FINRA Sanctions Joseph Stone’s Mike Murillo: Unsuitable Trading
The Financial Industry Regulatory Authority sanctioned Mineola, New York financial advisor Mike Murillo (CRD# 4875997) over allegations of excessive and unsuitable trading. FINRA records show that the Joseph Stone Capital broker will be suspended from associating with any FINRA member firm in any capacity for a period of eight months.
Vince Bailey: Oil & Gas Complaint Against Geneva Advisor
Berthel Fisher & Company Financial Services advisor Vince Bailey (CRD# 1845517) has received multiple investor complaints alleging he recommended unsuitable products and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker based in Geneva, Illinois.
Jim Siemonsma: Mariner Advisor Has Atlas Growth Partners Complaint
Omaha financial advisor Jim Siemonsma (CRD# 2172228) recently received an investor complaint relating to investments in Atlas Growth Partners. Financial Industry Regulatory Authority records show that he is a broker with MSEC and an investment advisor with Mariner Wealth Advisors.
Andy Rodgers: Mainspring Wealth Advisor Had $134K Investor Complaint
Raymond James financial advisor Andy Rodgers (CRD# 2277643) recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor in Tukwila, Washington, where he is a representative of Mainspring Wealth Advisors.
Kevin Asano: $300K Complaint Against Honolulu Advisor
First Allied Securities advisor Kevin Asano (CRD# 4450052) allegedly recommended unsuitable investments and engaged in other forms of misconduct, according to an investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Honolulu, Hawaii.
