Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Hobby Barndollar: REIT Complaints Against Land O’ Lakes Advisor
PurePath Wealth Management advisor Hobby Barndollar (CRD# 3027317) has received numerous investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Crown Capital Securities broker is based in Land O’ Lakes, Florida.
Luke Johnson: $1.3 Million Complaint Against Prime Capital Advisor
Scottsdale, Arizona financial advisor Luke Johnson (CRD# 3257008) has received more than 20 investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Coastal Equities broker is currently an investment advisor with Prime Capital Investment Advisors.
Scott Aabel: GWG L Bond Complaint Against Premiere Retirement Advisor
Osprey, Florida financial advisor Scott Aabel (CRD# 1493667) has received an investor complaint alleging his recommendations of GWG L bonds resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Spire Securities and Spire Wealth Management, doing business as Premiere Retirement Asset Management.
Oil & Gas Complaints Against Walter Reyna: Ex-Lincoln Advisor
Walter Reyna (CRD# 1323478), a broker and investment advisor with J.W. Cole Financial, has received multiple investor complaints concerning investments in oil and gas securities. Financial Industry Regulatory Authority records show that he is based in McAllen, Texas and was formerly registered with Lincoln Financial Securities Corporation. He does business as an investment advisor… Read More »
William Campbell: Energy 11 Complaint Against White Plains Advisor
David Lerner Associates representative William Campbell (CRD# 1255769) has received several investor complaints alleging he recommended unsuitable investments to his clients. Financial Industry Regulatory Authority records show that he is a broker based in White Plains, New York.
Steve Wedel: $300K REIT Complaint Against Four Seasons Advisor
Naples, Florida financial advisor Steve Wedel (CRD# 1221992) has received several investor complaints. Financial Industry Regulatory Authority records show that he is a broker with Private Client Services, doing business as Four Seasons Wealth Management, and an investment advisor with RFG Advisory. He was previously registered with LPL Financial in Creve Coeur, Missouri.
Richard Sanders: Merrill Lynch Advisor Has $490K Investor Complaint
Brea, California financial advisor Richard Sanders (CRD# 410229) has received multiple investor complaints alleging he engaged in unauthorized trading. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, having previously been registered with UBS Financial Services.
John Zaffarano: $185K Complaint Against Boca Raton Newbridge Advisor
Boca Raton financial advisor John Zaffarano (CRD# 6690551) has received an investor complaint alleging his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities and Newbridge Financial Services Group, respectively.
John Broughton: $160K Complaint Against Ex-Cetera, LPL Advisor
A recent investor complaint against former Citizens Securities and Cetera Investment Services advisor John Broughton (CRD# 2362478) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or an investment adviser, though he was most recently based in Johnston, Rhode Island and… Read More »
Michael Corrada: 500K Bond Complaint Against Richmond Advisor
A recent investor complaint against former Center Street Securities financial advisor Michael Corrada (CRD# 709158) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or an investment advisor, and that he was most recently based in Richmond, Virginia.
