Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Maria Heredia: $3.5 Million Complaint Against Winter Springs Advisor
A recent investor complaint against Edward Jones financial advisor Maria Heredia (CRD# 2846556) alleges her advice led to damages exceeding $3 million. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Winter Springs, Florida.
Mark Stevenson: NYC Stifel Nicolaus Advisor Has Investor Complaints
New York City financial advisor Mark Stevenson (CRD# 436079) has received multiple investor complaints that reached six- or seven-figure settlements. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Stifel Nicolaus & Company. He is also registered with the firm’s office in Miami, Florida.
Emilio Guajardo: $188K UIT Complaint Against Former BB&T Advisor
Merrill Lynch financial advisor Emilio Guajardo (CRD# 4871764) has received multiple investor complaints, including one that settled for more than $250,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in The Woodlands, Texas. He was previously registered with BB&T Securities.
Oil & Gas Complaint Against Lincoln Financial’s Peter Bryan
A recent investor complaint against Taylor, Texas financial advisor Peter Bryan (CRD# 1006417) details allegations concerning an oil and gas investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Lincoln Financial Securities Corporation.
Jeremy Presley: Investor Complaint Against Atlanta LCORE Advisor
Atlanta financial advisor Jeremy Presley (CRD# 6685733) allegedly recommended unsuitable investments, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Alexander Capital, doing business as LCORE Wealth Management.
Hobert Wealth’s Jeff Hobert: Investor Complaint Seeks $100K
Newport Beach financial advisor Jeff Hobert (CRD# 805680) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Centaurus Financial, and a representative of Hobert Wealth Management.
Jim Shawver: $100K REIT Complaint Against Isaacson Advisor
Boynton Beach financial advisor Jim Shawver (CRD# 2571148) 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 with Peak Brokerage Services, doing business as Isaacson Tax & Estate Advisors.
Greg McLeod: $85K Fraud Complaint Against Newbridge Advisor
Fort Lauderdale financial advisor Greg McLeod (CRD# 2741097) allegedly committed fraud, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities Corporation and Newbridge Financial Services Group, respectively.
Northstar Complaint Against Infinex’s Robert Leslie
Recent investor complaints against Brooklyn financial advisor Robert Leslie (CRD# 2755940) allege he recommended unsuitable REIT and annuity products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Infinex Investments.
Roger Wacker: $400 Million Tesla Complaint Against UBS Advisor
Los Angeles financial advisor Roger Wacker (CRD# 3265519) has received investor complaints alleging his recommendations led to damages in the millions of dollars. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
