Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Gary DiDonna: Premier Retirement Advisor Has GWG L-Bond Complaint
Investor complaints against Osprey, Florida financial advisor Gary DiDonna (CRD# 1651306) allege that he made unsuitable investment recommendations that resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Spire Securities, doing business as Premier Retirement Asset Management.
Investor Complaint Against Spartan Capital’s Sean Barakat
New York City financial advisor Sean Barakat (CRD# 5031281), also known as Shadi Barakat, recently received an investor complaint alleging he breached his fiduciary duty to the investor. Financial Industry Regulatory Authority records show he is a broker with Spartan Capital Securities.
Josh Westerman: Investor Complaint Against Morgan Stanley Advisor
Fort Lauderdale financial advisor Josh Westerman (CRD# 6838471) has received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Morgan Stanley.
GWG L-Bond Complaint Against Intervest’s Jonathan Ellefson
Harker Heights, Texas financial advisor Jon Ellefson (CRD# 1625977) has received investor complaints alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Intervest International Equities Corporation, doing business as Ellefson & Associates.
Christopher Fusco: $310K Complaint Against Ex-Joseph Stone Advisor
Former Mineola, New York financial advisor Christopher Fusco (CRD# 5981205) has received an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or as an investment adviser, though he was most recently registered with Joseph Stone Capital.
New REIT Complaint Against Flushing Advisor Chang Vung
Recent investor complaints against Cetera Investment Services financial advisor Chang Vung (CRD# 5347816) allege unsuitable investment recommendations and other forms of fraud. Financial Industry Regulatory Authority records show that Ms. Vung is a broker based in Flushing, New York.
Fariba Madison: $300K Bond Complaint Against Los Alamitos Advisor
Western International Securities financial advisor Fariba Madison (CRD# 1178259) has received investor complaints alleging her investment advice resulted in losses, in one case six-figure losses. Financial Industry Regulatory Authority records show that she is a broker and investment adviser based in Los Alamitos, California.
Glen Cole: Ex-Moloney Advisor Denies Investor Complaint
Investor complaints against former Manchester, Missouri financial advisor Glen Cole (CRD# 1999588) allege that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Moloney Securities, though he is no longer registered as a broker.
Lon Faccini: Churning Complaints Against Staten Island Advisor
Arive Capital Markets financial advisor Lon Faccini (CRD# 2736849) has received investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker based in Staten Island, New York.
Wade Papas: $200K ARC NYC Complaint Against Forte Advisor
Investor complaints against New York City financial advisor Wade Papas (CRD# 2933979) allege he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a representative of National Securities Corporation, doing business as Forte Capital Group.
