Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Adam Wright: Irontree Investment Advisor Receives GWG L Bond Complaint
Mesa, Arizona financial advisor Adam Wright (CRD# 6234854) is involved in an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records indicate that he is a broker with Center Street Securities and an investment advisor with Center Street Advisors, doing business as Irontree Investment Management. He is also registered with… Read More »
David Narish: Did Center Street Advisor Recommend Unsuitable Product?
Frankfort, Illinois financial advisor David Narish (CRD# 3005959) allegedly recommended an unsuitable investment, according to a recent investor complaint filed against him. Financial Industry Regulatory Authority records show that he is a broker with Center Street Securities and an investment advisor with Center Street Advisors.
Paul Lekousis: $146K Investor Complaint Against Pruco Advisor
La Grange Park, Illinois financial advisor Paul Lekousis (CRD 2545673) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Pruco Securities and an investment advisor with Prudential Financial Planning Services. He is also registered with the firm’s office… Read More »
Anida Venniro: Complaint Against Ex-LPL Advisor Reaches Settlement
An investor complaint alleging that Farmington Hills financial advisor Anida Venniro (CRD# 5121189) misrepresented a real estate investment recently settled for more than $90,000. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Ameriprise Financial Services, having formerly been registered with LPL Financial.
Michael Dellinger: Options Overlay Complaints Against UBS Advisor
Houston financial advisor Michael Dellinger (CRD# 4558550) has received multiple investor complaints alleging his conduct resulted in damages totaling more than $4 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Paul Murans: Did Ex-UBS Advisor Misrepresent Investment?
Multiple investor complaints against Indianapolis financial advisor Paul Murans (CRD# 3266607) allege that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Thurston Springer, having previously been registered with UBS Financial Services.
American Equity’s Donald Rhodes Lands $120K GWG Complaint
An investor complaint alleges that New Albany, Indiana financial advisor Donald Rhodes (CRD# 2813490) recommended an unsuitable investment in GWG Holdings. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with American Equity Investment Corporation.
Bill Horak: GWG Complaint Against Purshe Kaplan Sterling Advisor
Tallahassee financial advisor Bill Horak (CRD# 1462594) allegedly failed to uphold his duties in connection with GWG L bond investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Wealth Management Corporation.
Ex-SunTrust Advisor Angelita Fuentes: GIC Investment Complaints
Recent investor complaints against Miami financial advisor Angelita Fuentes (CRD# 5609340) allege that she recommended unsuitable investments in GIC. Records maintained by the Financial Industry Regulatory Authority show that she is a broker and an investment advisor with Investment Placement Group, having previously been registered with SunTrust Investment Services.
Gonzalo Ruiz: $950K Complaint Against Ocean Financial Advisor
Miami financial advisor Gonzalo Ruiz (CRD# 1889804) recently received an investor complaint alleging his conduct resulted in damages of more than $900,000. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Ocean Financial Services and Ocean Financial Advisors, respectively.
