Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Osland Financial’s Michael Osland: $150K Mutual Fund Complaint
Scottsdale, Arizona financial advisor Michael Osland (CRD# 1791642) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Geneos Wealth Management, doing business as Osland Financial Group.
Morgan Stanley’s Walter Lim: $673K Options Strategy Complaint
A recent investor complaint against San Francisco financial advisor Walter Lim (CRD# 1747688) alleges six-figure damages relating to an options trading strategy. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, and that he previously received another investor complaint that was denied.
John Wolf: GWG Complaint Against Appleton-Based Cornerstone Advisor
A recent investor complaint against Appleton, Wisconsin financial advisor John Wolf (CRD# 1846080) alleges several forms of misconduct stemming from an investment in GWG L bonds. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is currently an investment advisor with Cornerstone Financial Planning.
Marc Davis: $1.3 Million Complaint Against Davis & Seiley Advisor
La Mesa, California financial advisor Marc Davis (CRD# 2087050) is involved in an investor complaint alleging damages of $1.3 million. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is an investment advisor with Davis & Seiley Wealth Management, having previously been registered with Purshe Kaplan… Read More »
Edward Balmes: Did Moloney Advisor Recommend Unsuitable Bonds?
Recent investor complaints against Chesterfield, Missouri financial advisor Edward Balmes (CRD# 2110152) allege negligence and suitability violations. Financial Industry Regulatory Authority records show that he is a broker with Moloney Securities and an investment advisor with Moloney Securities Asset Management.
David Reo: $350K Complaint Against Reo Financial Advisor
Rensselaer financial advisor David Reo (CRD# 2113425) is involved in an investor complaint alleging damages of more than $300,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with Innovation Partners and an investment advisor with IP Financial Advisory Services, doing business as Reo Financial Services.
Emma Hahn: Ameriprise Denies $95K Complaint Against Wichita Advisor
Wichita financial advisor Emma Hahn (CRD# 7241667) recently received an investor complaint alleging misconduct stemming from a variable annuity investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Ameriprise Financial Services.
Mark Nelson: Investor Complaint Against Chrysalis Wealth Advisor
Colorado Springs financial advisor Mark Nelson (CRD# 5074803) is involved in an investor complaint alleging his conduct resulted in damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Ameriprise Financial Services, and that he is also registered with the firm’s office in Albuquerque,… Read More »
CDP Financial’s Brian Perkins: $120K Investor Complaint
Brian Perkins (CRD# 5630932), a financial advisor based in Littleton, Colorado, recently received an investor complaint alleging multiple forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity and an investment advisor with CDP Financial Group.
David Wood: Moloney Securities Denies $600K Complaint
Manchester, Missouri financial advisor David Wood (CRD# 2306563) is involved in multiple investor complaints alleging cumulative damages of more than $800,000. Financial Industry Regulatory Authority records show that he is a broker with Moloney Securities, having previously been registered with Hancock Securities.
