Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
Read MoreAuthor Archives: chase@carlson-law.com
Joe Greenberg: Did Desert Financial Advisor Make Unauthorized Trades?
Mesa, Arizona financial advisor Joe Greenberg (CRD# 1276521) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services and a representative of Desert Financial.
Philip Board: $60K Complaint Against Centaurus Advisor
A recent investor complaint against Upland, California financial advisor Philip Board (CRD# 2290520) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Centaurus Financial.
John Thomas: Ft. Lauderdale Global Wealth Advisor Has $100K Complaint
A pending investor complaint against Fort Lauderdale financial advisor John Thomas (CRD# 4679845) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker with Madison Avenue Securities and an investment advisor with Global Wealth Management Investment Advisory. He was formerly registered with GF Investment Services. Mr. Thomas’s… Read More »
Brent Hablutzel: Why Did Rockefeller Financial Fire Colorado Advisor?
Rockefeller Financial recently fired Greenwood Village, Colorado financial advisor Brent Hablutzel (CRD# 4749339) in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently an investment advisor with Western Wealth Management in Greenwood Village.
Grant Conness: $100K Complaint Against Ex-GF Investment Advisor
Fort Lauderdale financial advisor Grant Conness (CRD# 4778193) recently received an investor complaint alleging his investment advice led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Madison Avenue Securities and an investment advisor with Global Wealth Management Investment Advisory. He was formerly affiliated with GF Investment Services.
Byron Martinsen: FINRA Suspends Centaurus Advisor
Kings Park, New York financial advisor Byron Martinsen (CRD# 1621649) engaged in improper private securities transactions, according to a recent FINRA sanction. Financial Industry Regulatory Authority records show that the Centaurus Financial broker and investment advisor has received multiple investor complaints, including one that alleges damages of $3 million.
Conrad Branson: FINRA Suspends Ex-Merrill Lynch Advisor
San Diego financial advisor Conrad Branson (CRD# 2939162) engaged in unauthorized trading, according to a recent Financial Industry Regulatory Authority sanction. FINRA records show that the Kingswood Capital Partners broker and investment advisor, formerly affiliated with Merrill Lynch in Mill Valley, has been issued a 45-day suspension from associating with any FINRA member firm.
Alex Phillips: ETF Complaint Against UBS Rep Settled for $290K
An investor complaint against Los Angeles financial advisor Alex Phillips (CRD# 1730948) reached a settlement of more than $200,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s office in Pacific Palisade, California.
Steve Hayden: $346K Complaint Against Atlanta Planning Group Advisor
Atlanta financial advisor Steve Hayden (CRD# 4620943) recently received an investor complaint alleging his investment advice led to more than $300,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors, doing business as Atlanta Planning Group.
Dan Beech: $300K Complaints Against Simple Wealth Advisor
Thousand Oaks, California financial advisor Dan Beech (CRD# 6169844) has received several investor complaints alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Innovation Partners, doing business as Simple Wealth. He was previously affiliated with Western International Securities in Westlake… Read More »
