Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Sandy Leff: Suitability Complaint Against Carter Terry Advisor
Atlanta, Georgia financial advisor Sandy Leff (CRD# 1796695) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Carter Terry & Company.
Dan Goodwin: Provident, Ex-AAG Advisor Faces $186K Complaint
Recent investor complaints against The Woodlands, Texas financial advisor Dan Goodwin (CRD# 5752768) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Great Point Capital and as an investment advisor with Provident Wealth Advisors and Accurate Wealth Management.
Michael Wagner: Morgan Stanley Advisor Lands $2mm Complaint
Atlanta, Georgia financial advisor Michael Wagner (CRD# 4465334) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Matt Greene: Investor Complaint Against LPL Advisor
A recent investor complaint against Covington, Louisiana financial advisor Matt Greene (CRD# 3175382) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Pelican Advisory.
Ben Sweeney: Morgan Stanley Advisor Faces Bond Complaints
Dallas, Texas financial advisor Ben Sweeney (CRD# 2885369) has received multiple investor complaints relating to an options strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Matthew Carbray: Suitability Complaint Against Ridgeline Advisor
Avon, Connecticut financial advisor Matthew Carbray (CRD# 4565811) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services and an advisor with Kestra Advisory Services, doing business as Ridgeline Financial Partners.
Ken Arena: $500K Complaint Against Cetera, Ex-Newbridge Advisor
Pompano Beach, Florida financial advisor Ken Arena (CRD# 6997) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers.
Zachary Abraham: Bulwark, Ex-Clear Creek Advisor Faces $700K Complaint
A recent investor complaint against Tacoma, Washington financial advisor Zachary Abraham (CRD# 5595930) alleges that he gave unsuitable advice. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Abraham & Company broker is currently registered as an investment advisor with Trek Financial, doing business as Bulwark Capital Management.
Mark Rubin: $550K Complaint Against Raymond James Advisor
San Rafael, California financial advisor Mark Rubin (CRD# 1936202) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
William Chan: $550K Complaint Against Citi Advisor
A recent investor complaint against Rowland Heights, California financial advisor William Chan (CRD# 3103541) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
