Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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UBS Advisor Gerard Costello: $900K Options Overlay Complaint
A recent investor complaint against New York City financial advisor Gerard Costello (CRD# 1551511) alleges that his investment advice concerning an options overlay strategy resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Raymond James Advisor William Seibert: Complaint Settles for $897K
Houma, Louisiana financial advisor William Seibert (CRD# 2710335) recently received an investor complaint alleging he recommended unsuitable oil and gas products. Financial Industry Regulatory Authority records show that the Raymond James & Associates broker has also received an investor complaint that recently settled for more than $800,000.
David Hirsch: Options Overlay Complaints Against UBS Advisor
Multiple investor complaints against Chicago financial advisor David Hirsch (CRD# 1341777) allege that he misrepresented and unsuitably recommended an options overlay strategy. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with UBS Financial Services.
MML’s Michael Yoon Has $500K Unauthorized Trading Complaint
Los Angeles financial advisor Michael Yoon (CRD# 6348923) allegedly made unsuitable investment recommendations and unauthorized trades, according to a new investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with MML Investors Services.
Daniel Joyce: GWG L Bond Complaint Against WestPark Advisor
New York City financial advisor Daniel Joyce (CRD# 1112928) allegedly provided misleading information regarding investments in GWG L bonds, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with WestPark Capital.
Stifel Nicolaus Advisor Kenneth Ramos Lands $389K Investor Complaint
A recent investor complaint against New York City financial advisor Kenneth Ramos (CRD# 2553426) alleges, among other things, that he engaged in unauthorized trading. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Morgan Stanley.
RBC Advisor Martin Klein: Complaints Allege $34 Million Losses
Pending investor complaints against Newport Beach financial advisor Martin Klein (CRD# 1778613) allege that his investment advice resulted in damages of more than $30 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with RBC Capital Markets.
Kingswood Advisor Brady Fuchs Receives Oil & Gas Complaint
San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.
Bill Sines: New Complaint Against Senior Financial Services Advisor
Multiple investor complaints against Seminole, Florida financial advisor Bill Sines (CRD# 2190586) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Berthel Fisher & Company Financial Services, doing business as Senior Financial Services.
Jason Rossi: $203K Complaint Against Aegis Capital Broker
Melville, New York financial advisor Jason Rossi (CRD# 4384426) allegedly churned investments and made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that the Aegis Capital broker has also been in involved in an investor complaint that reached a settlement.
