Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Kevin Duffy: $124K ETF Complaint Against Raymond James Advisor
Multiple investor complaints against Louisville financial advisor Kevin Duffy (CRD# 4481935) allege that he recommended unsuitable investments to his customers. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Raymond James & Associates.
Fermin Mesina: $500K-$1mm Complaint Against First Bank Advisor
Recent investor complaints against Chula Vista, California financial advisor Fermin Mesina (CRD# 4619199) allege that his investment advice resulted in cumulative damages as high as $1.35 million. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Infinex Investments as well as a representative of First Bank.
Wells Fargo Advisor Christopher Hill: Investors File Complaints
Miami financial advisor Christopher Hill (CRD# 4683090) allegedly engaged in conduct that resulted in losses in a customer’s account, 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 Wells Fargo Clearing Services.
Network 1 Advisor Andrew Grant: FINRA Advises Disciplinary Action
Hauppauge, New York financial advisor Andrew Grant (CRD# 2709882) allegedly exercised unauthorized discretion in customer accounts, according to a recent investigation. Financial Industry Regulatory Authority records show that he is a broker with Network 1 Financial Securities and has previously been sanctioned by FINRA in connection with findings of misconduct.
Stewart Ginn: $300K Complaint Against Crosby Investment Group Advisor
San Diego financial advisor Stewart Ginn (CRD# 4503197) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Navian Capital Securities and Independent Financial Group, doing business as Crosby Investment Group. He is registered with… Read More »
Robbie Msallem: Citigroup Advisor Denies $2 Million Complaint
Glendale, California financial advisor Robbie Msallem (CRD# 3199470) recently received an investor complaint alleging his conduct resulted in damages of $2 million. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Citigroup Global Markets.
Dharmesh Vora: Vora Wealth Advisor Denies 6-Figure Investor Complaints
Flagstaff financial advisor Dharmesh Vora (CRD# 2629494) is involved in multiple recent investor complaints alleging cumulative damages of more than $1 million. Records provided by the Securities and Exchange Commission indicate that he is an investment advisor with Vora Wealth Management.
Gene Thomas: $322K Complaint Against MML Advisor
A new investor complaint against Oklahoma City financial advisor Gene Thomas (CRD# 2065557) alleges that his conduct resulted in damages of more than $300,000. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with MML Investors Services, having previously been registered with MSI Financial Services.
Bill Schumann: H. Beck Denied Non-Traded REIT/BDC Complaint
Wheaton, Illinois financial advisor Bill Schumann (CRD# 1604894) has received multiple investor complaints alleging his conduct resulted in damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Grove Point Investments and Grove Point Advisors, doing business as Schumann Financial.
Gary Owens: $133K Complaint Against Owens Wealth Advisor
Boca Raton financial advisor Gary Owens (CRD# 1048781) is involved in an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority and other publicly available records indicate that he is a broker and an investment advisor with Merrill Lynch, where he is a member of the Owens Wealth Management Group.
