Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Byron Martinsen: FINRA Suspends Centaurus Advisor
Kings Park, New York financial advisor Byron Martinsen (CRD# 1621649) engaged in improper private securities transactions, according to a recent FINRA sanction. Financial Industry Regulatory Authority records show that the Centaurus Financial broker and investment advisor has received multiple investor complaints, including one that alleges damages of $3 million.
Conrad Branson: FINRA Suspends Ex-Merrill Lynch Advisor
San Diego financial advisor Conrad Branson (CRD# 2939162) engaged in unauthorized trading, according to a recent Financial Industry Regulatory Authority sanction. FINRA records show that the Kingswood Capital Partners broker and investment advisor, formerly affiliated with Merrill Lynch in Mill Valley, has been issued a 45-day suspension from associating with any FINRA member firm.
Alex Phillips: ETF Complaint Against UBS Rep Settled for $290K
An investor complaint against Los Angeles financial advisor Alex Phillips (CRD# 1730948) reached a settlement of more than $200,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s office in Pacific Palisade, California.
Steve Hayden: $346K Complaint Against Atlanta Planning Group Advisor
Atlanta financial advisor Steve Hayden (CRD# 4620943) recently received an investor complaint alleging his investment advice led to more than $300,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors, doing business as Atlanta Planning Group.
Dan Beech: $300K Complaints Against Simple Wealth Advisor
Thousand Oaks, California financial advisor Dan Beech (CRD# 6169844) has received several investor complaints alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Innovation Partners, doing business as Simple Wealth. He was previously affiliated with Western International Securities in Westlake… Read More »
Financial Architects’ Daniel Barnard: Atlas Growth Partners Complaint
Overland Park, Kansas financial advisor Daniel Barnard (CRD# 2403593) has been involved in investor complaints alleging misrepresentations and unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker with Cabin Securities, doing business as Financial Architects.
Darren Oglesby: Investor Complaint Against Oglesby Financial Advisor
Monroe, Louisiana financial advisor Darren Oglesby (CRD# 2480135) recently received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is the president of Oglesby Financial Group and registered as a broker and an investment advisor with Money Concepts.
James Dunn: $1mm Complaints Against Barred Ameriprise Advisor
Former Vienna, Virginia financial advisor James Dunn (CRD# 6084258) allegedly refused to cooperate with an investigation into his conduct, according to a recent Financial Industry Regulatory Authority action barring him from acting as a broker. FINRA records show that the former Ameriprise Financial Services representative has also received numerous investor complaints, several of which… Read More »
Jim Van Meter: $349K Complaint Against Tahoe Financial Advisor
Reno, Nevada financial advisor Jim Van Meter (CRD# 4557517) recently received an investor complaint alleging his advice led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Center Street Securities and Center Street Advisors, respectively. He is also the president and owner of Tahoe… Read More »
Justin Gillham: $1mm Investor Complaint Against Scottsdale Advisor
Merrill Lynch financial advisor Justin Gillham (CRD# 4575519) recently received an investor complaint alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.
