Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Financial Architects’ Daniel Barnard: Atlas Growth Partners Complaint
Overland Park, Kansas financial advisor Daniel Barnard (CRD# 2403593) has been involved in investor complaints alleging misrepresentations and unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker with Cabin Securities, doing business as Financial Architects.
Darren Oglesby: Investor Complaint Against Oglesby Financial Advisor
Monroe, Louisiana financial advisor Darren Oglesby (CRD# 2480135) recently received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is the president of Oglesby Financial Group and registered as a broker and an investment advisor with Money Concepts.
James Dunn: $1mm Complaints Against Barred Ameriprise Advisor
Former Vienna, Virginia financial advisor James Dunn (CRD# 6084258) allegedly refused to cooperate with an investigation into his conduct, according to a recent Financial Industry Regulatory Authority action barring him from acting as a broker. FINRA records show that the former Ameriprise Financial Services representative has also received numerous investor complaints, several of which… Read More »
Jim Van Meter: $349K Complaint Against Tahoe Financial Advisor
Reno, Nevada financial advisor Jim Van Meter (CRD# 4557517) recently received an investor complaint alleging his advice led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Center Street Securities and Center Street Advisors, respectively. He is also the president and owner of Tahoe… Read More »
Justin Gillham: $1mm Investor Complaint Against Scottsdale Advisor
Merrill Lynch financial advisor Justin Gillham (CRD# 4575519) recently received an investor complaint alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.
Joao Bastos: Did Miami Beach Advisor Make Unauthorized Purchase?
Citigroup Global Markets advisor Joao Bastos (CRD# 4628555) recently received an investor complaint alleging he made an unauthorized purchase. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Miami Beach, Florida.
Ex-Indie Asset Partners Broker Brent Foster Denies Complaints
Northbound Wealth representative Brent Foster (CRD# 5054998) is involved in numerous investor complaints. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Indianapolis-based investment advisor was formerly a broker with JP Morgan Securities and an advisor with Indie Asset Partners.
Garrett Moretz: GWG L Bond Complaint Against LifeMark Advisor
An investor complaint against Mooresville, North Carolina financial advisor Garrett Moretz (CRD# 4086791) alleges that an investment in GWG L bonds resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LifeMark Securities.
Nancy Cole: Sacramento Advisor Charged in SEC’s GWG L Bond Complaint
The Securities and Exchange Commission has filed charges against Western International Securities advisor Nancy Cole (CRD# 2900724), alleging she recommended unsuitable sales of GWG L bonds. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Sacramento, California.
Sui-Hock Goy: $100K GWG Complaint Against NI Advisors Rep
A recent investor complaint against Milpitas, California financial advisor Sui-Hock Goy (CRD# 2821380) alleges various forms of misconduct relating to an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with NI Advisors.
