Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Ex-Centaurus Advisor Robert Omohundro: Investor Complaints
Atlanta financial advisor Robert Omohundro (CRD# 2415942) recently received an investor complaint alleging he recommended unsuitable investments that suffered losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Alexander Capital, doing business as LCORE Wealth Management.
San Jose Advisor Kim Carson: Fraud Complaint
A recent investor complaint against Principal Securities financial advisor Kim Carson (CRD# 5576304) alleges that she committed fraud and other forms of misconduct. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in San Jose, California.
FINRA Suspends Aegis Advisor Joe Lascala
Melville, New York financial advisor Joe Lascala (CRD# 3070261) made unapproved trades in a customer’s account, according to a recent Financial Industry Regulatory Authority enforcement action. FINRA records show that he is a broker registered with Aegis Capital Corporation.
Kenneth Barroga: Ex-Crown Capital Advisor Has REIT Complaint
A recent investor complaint against former Watsonville, California financial advisor Kenneth Barroga (CRD# 2288752) reached a settlement of more than $150,000. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or an investment advisor, though he was most recently registered with Crown Capital Securities and did business as… Read More »
Ron Phillips: $250K Complaint Against Walnut Creek Advisor
Morgan Stanley financial advisor Ron Phillips (CRD# 2823393) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Walnut Creek, California.
Jonathan Cummings: REIT Complaint Against Hurst Advisor
LPL Financial advisor Jonathan Cummings (CRD# 2715296) has received investor complaints alleging he sold unsuitable real estate investment trust (REIT) products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Hurst, Texas.
WC Stewart: Coastal Equities Advisor Has Suitability Complaint
Covington, Kentucky financial advisor WC Stewart (CRD# 2462780) allegedly provided misleading information regarding an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Coastal Equities and a representative of WC Stewart & Associates.
John Cody: Fraud Complaint Against Los Angeles Advisor
Merrill Lynch financial advisor John Cody (CRD# 49467) recently received an investor complaint alleging he engaged in fraud and other forms of wrongdoing. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Los Angeles.
Red Bank Advisor Mickey Schreiber: New Investor Complaint
Aegis Capital financial advisor Mickey Schreiber (CRD# 1032600) has received multiple investor complaints alleging he engaged in misconduct, including unauthorized and excessive trading. Financial Industry Regulatory Authority records show that he is a broker based in Red Bank, New Jersey.
Tom Holly: $100K GWG Complaint Against Boca Raton Advisor
B. Riley Wealth Management financial advisor Tom Holly (CRD# 1713313) recently received an investor complaint alleging he unsuitably recommended a GWG L bond. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boca Raton, Florida.
