Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Thomas Bonds: $5 Million Complaint Against Morgan Stanley Advisor
San Francisco financial advisor Thomas Bonds (CRD# 1867556) recently received an investor complaint alleging his investment recommendations resulted in damages of $5 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Mark Williams: $100K Complaint Against Financial Gravity Advisor
Carmel-by-the-Sea financial advisor Mark Williams (CRD# 4061842) has received investor complaints alleging he recommended unsuitable and risky investments. Financial Industry Regulatory Authority records show that he is a broker with Kingswood Capital Partners and an investment advisor with Financial Gravity Family Office Services.
Mark Cline: GWG L Bond Complaints Against Wildwood Advisor
Former National Securities Corporation financial advisor Mark Cline (CRD# 3206962) has received more than a dozen settled or pending complaints alleging he engaged in various forms of misconduct. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor in Wildwood, Florida.
Rodney Scott: Birmingham Cetera Advisor Had UIT Complaint
Birmingham, Alabama financial advisor Rodney Scott (CRD# 5681912) recently received an investor complaint alleging he provided misleading advice regarding a unit investment trust (UIT) product. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisors, respectively.
John Lancaster: Ausdal Advisor Has GWG L Bond Complaint
Glen Ellyn, Illinois financial advisor John Lancaster (CRD# 1293652) recently received an investor complaint alleging he provided misleading information regarding an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ausdal Financial Partners.
Mike Elias: Bond Complaint Against Elite Wealth Advisor
Brentwood, California financial advisor Mike Elias (CRD# 1522834) has received an investor complaint alleging he provided misleading investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, and he is the owner of Elite Wealth Management.
Paul Pavelski: $50K Complaint Against Landolt Advisor
Antioch, Illinois financial advisor Paul Pavelski (CRD# 1843721) recently received an investor complaint alleging a risky corporate bond investment suffered losses. Financial Industry Regulatory Authority records show that Mr. Pavelski is a broker and an investment advisor with Landolt Securities.
Betsy Whipple: $500k-$1 Million Complaint Against Newbridge Advisor
A recent investor complaint against Hiko, Nevada financial advisor Betsy Whipple (CRD# 2703262) alleges that her investment recommendations resulted in damages of up to one million dollars. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Newbridge Securities Corporation. She is also the owner of BL Whipple… Read More »
Stella Lu: $1 Million Complaint Against Former Sunnyvale Advisor
Former Transamerica Financial Services advisor Stella Lu (CRD# 6270026) recently received an investor complaint alleging her recommendations led to seven-figure losses. Financial Industry Regulatory Authority records show that she was most recently registered as a broker and an investment advisor in Sunnyvale, California.
FINRA Sanctions Joseph Stone’s Mike Murillo: Unsuitable Trading
The Financial Industry Regulatory Authority sanctioned Mineola, New York financial advisor Mike Murillo (CRD# 4875997) over allegations of excessive and unsuitable trading. FINRA records show that the Joseph Stone Capital broker will be suspended from associating with any FINRA member firm in any capacity for a period of eight months.
