Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Kestra Advisor Jim Morrison Receives Oil & Gas Complaint
Waco, Texas financial advisor Jim Morrison (CRD# 1254375) is involved in an investor complaint alleging that a private placement investment recommendation resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Kestra Investment Services. He is also the owner and president of Jim Morrison Financial Services.
Nitin Bahirwani: Ex-National Securities Advisor Has $900K Complaint
A recent investor complaint against Miami financial advisor Nitin Bahirwani (CRD# 4748899) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with B. Riley Wealth Management, having previously been registered with National Securities Corporation.
Mark Fennelly: Complaint Against Vanguard Advisor Sought $1 Million
Plano, Texas financial advisor Mark Fennelly (CRD# 4610426) was recently involved in an investor complaint alleging his investment advice resulted in damages exceeding one million dollars. Records maintained by the Financial Industry Regulatory Authority indicated that he is currently a broker and an investment advisor registered with Vanguard Marketing Corporation and Vanguard Advisers, respectively.
Thomas Duggan: Ex-Aegis Advisor Allegedly Committed Elder Abuse
Former Melville, New York financial advisor Thomas Duggan (CRD# 2757615) has received investor complaints alleging unauthorized trading, elder abuse, and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he was most recently registered as a broker with Aegis Capital.
Brandon Leon: $336K Private Placement Complaint Against PHX Advisor
New York City financial advisor Brandon Leon (CRD# 5200595) is involved in an investor complaint alleging unsuitable investment recommendations that resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker with PHX Financial.
Samuel Ingram: Oil & Gas Complaint Against Ex-JW Cole Advisor
A recent investor complaint against former Tempe, Arizona financial advisor Samuel Ingram (CRD# 2622115) alleges six-figure damages connected to an oil and gas investment. Financial Industry Regulatory Authority records show that Mr. Ingram is not currently registered as a broker or an investment advisor, though he was most recently registered with JW Cole Financial…. Read More »
CBCLife’s Joyce Liang Receives GWG L Bond Complaint
Daly City, California financial advisor Joyce Liang (CRD# 6860076) is involved in an investor complaint involving an investment in GWG L bonds. Records provided by the Financial Industry Regulatory Authority show that she is a broker with NI Advisors and a representative of CBCLife Financial Services.
Richard “RK” Robertson: SEC Sanctions Former IFP Advisor
The Securities and Exchange Commission recently barred former San Diego advisor Richard “RK” Robertson (CRD# 2233786) in connection with allegations he engaged in a fraudulent “cherry-picking” scheme. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or as an investment advisor, though he was previously registered with Independent… Read More »
Matthew Franchina: $100K Negligence Complaint Against Moloney Advisor
Matthew Franchina (CRD# 5987117), a financial advisor in Manchester, Missouri, recently received an investor complaint alleging he was negligent in his duties. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Moloney Securities and an investment advisor with Moloney Securities Asset Management
Christina Silvius: Was Financial Solutions Advisor Negligent?
Investor complaints against Kansas City, Missouri financial advisor Christina Silvius (CRD# 4559574) allege that she acted negligently and recommended unsuitable investments. Records maintained by the Financial Industry Regulatory Authority indicate that Ms. Silvius is a broker and an investment advisor with Moloney Securities, doing business as Advanced Financial Solutions.
