Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Thrivent Advisor Mike Shackel Received $185K Complaint
Woodridge, Illinois financial advisor Mike Shackel (CRD# 4157324) recently received an investor complaint alleging six-figure damages stemming from a variable annuity investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Thrivent Investment Management.
Eric Zwilling: Did Merrill Lynch Advisor Misrepresent Investment?
A recent investor complaint against Dublin, Ohio financial advisor Eric Zwilling (CRD# 4208417) alleges he provided misleading information regarding an investment. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Cabin Securities’ Sam Bhushan Receives $150K Reg D Complaint
Sam Bhushan (CRD# 4884717), a financial advisor based in Laguna Niguel, California, recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Cabin Securities, having previously been registered with Arete Wealth Management.
Walter León: Citi Denies Complaint Against Miami Advisor
Miami financial advisor Walter León (CRD# 5872460) allegedly over-concentrated investments in a client’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, having been a representative of Citigroup Global Markets until July 2022.
Ex-Intervest Advisor John Schlagheck: GWG L Bond Complaints
Recent investor complaints against McDonough, Georgia financial advisor John Schlagheck (CRD# 1040673) allege that investments in GWG L bonds resulted in damages exceeding half a million dollars. Financial Industry Regulatory Authority records show that he is a broker with Cape Securities, having previously been registered with Intervest International Equities Corporation.
Phil Sherrill: Oil & Gas Complaint Against Cambridge Advisor
Cornelius, North Carolina financial advisor Phil Sherrill (CRD# 1160379) recently received an investor complaint concerning an oil and gas investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research. having previously been registered with Securities Service Network.
Edward Stike: $750K Complaint Against Stike Wealth Advisor
Charleston, West Virginia financial advisor Edward Stike (CRD# 1439479) recently received an investor complaint alleging six-figure damages stemming from investments in equities and bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Stike Wealth Enhancement Group.
Altius Financial’s John Dixon Receives $250K Complaint
A recent investor complaint against Pocatello, Idaho financial advisor John Dixon (CRD# 4239339) alleges misrepresentation and suitability violations. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Independent Financial Group, doing business as Altius Financial Group.
Bilo Bouab: $776K Complaint Against American Portfolios Advisor
Red Bank, New Jersey financial advisor Bilo Bouab (CRD# 4340284) recently received an investor complaint alleging damages exceeding $700,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Garden State Securities and Garden State Investment Advisory Services, respectively. He is also known as Nabil Bouab.
Certior Financial’s Gary Gallagher: FS Energy & Power Complaint
King of Prussia financial advisor Gary Gallagher (CRD# 5745751) alleged misrepresented an investment in FS Energy & Power Fund, according to a new investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Mutual Securities and an investment advisor with Certior Financial Group.
