Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Kelvin Wong: Did Ex-Cetera Advisor Over-Concentrate Client Account?
Former Jersey City financial advisor Kelvin Wong (CRD# 6100689) is involved in an investor complaint alleging that unsuitable investment recommendations led to six-figure losses. Records provided by the Financial Industry Regulatory Authority show that Mr. Wong is not currently registered as a broker or as an investment adviser, though he was most recently affiliated… Read More »
David Giegerich: $100K Complaint Against Ex-Paradigm Wealth Advisor
Former Bridgewater, New Jersey financial advisor David Giegerich (CRD# 2795115) is involved in an investor complaint alleging he provided unsuitable advice and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is not currently registered as a broker, though he was previously registered with LPL Financial, doing business as… Read More »
Jennifer Medlin: Fifth Third Denies Structured Note Complaint
Jennifer Medlin (CRD# 6542270), a financial advisor based in Fort Wayne, was recently involved in an investor complaint alleging she provided incomplete information about an investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Fifth Third Securities.
FSC Securities Advisor Craig Accardo Receives $100K-$500K Complaint
An investor complaint against Metairie, Louisiana financial advisor Craig Accardo (CRD# 3000762) recently settled for $3.5 million. Financial Industry Regulatory Authority records show that the FSC Securities Corporation broker and investment advisor is involved in another investor complaint alleging his conduct resulted in six-figure damages.
Peter Radvanyi: $180K Complaint Against Ex-Newbridge Advisor
Reston, Virginia financial advisor Peter Radvanyi (CRD# 3129076) is involved in an investor complaint alleging multiple forms of misconduct, including unsuitable investment recommendations and violations of federal securities law. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Newbridge Securities Corporation broker is currently an… Read More »
Pedro Escobar: $100K-$500K GIC Complaint Against Ameriprise Advisor
A recent investor complaint against Davie, Florida financial advisor Pedro Escobar (CRD# 2785268) alleges damages of up to half a million dollars. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Wells Fargo Clearing Services and SunTrust Investment Services.
Scott Coonrod: $1.2 Million Complaint Against Ex-FSC Advisor
An investor complaint against former Bend, Oregon financial advisor Scott Coonrod (CRD# 4311374) alleges that his trading activities resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he was previously registered as a broker with FSC Securities Corporation.
David Lau: FINRA Sanctions Gladstone Wealth Partners Advisor
Santa Rosa financial advisor David Lau (CRD# 4567411) was recently sanctioned by securities industry regulators in connection to allegations he engaged in improper trading conduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records indicate that he is not currently registered as a broker, the former Morgan Stanley representative is registered as an… Read More »
Rhett Fordham: $100K Complaint Against LPL, Ex-Raymond James Advisor
Franklin, Tennessee financial advisor Rhett Fordham (CRD# 4592437) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Fordham Investment Management.
Did Paul Ganun, Morgan Stanley Advisor, Misrepresent Investments?
Red Bank, New Jersey financial advisor Paul Ganun (CRD# 2358305) allegedly provided misleading information to his client, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that Mr. Ganun is a broker and an investment advisor with Morgan Stanley.
