Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) was recently sanctioned and suspended in connection with alleged rule violations....
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Travis Lippman: $853K Complaint Against Spartan Capital Advisor
New York City financial advisor Travis Lippman (CRD# 5908823) has received investor complaints alleging unsuitable trades and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Spartan Capital Securities and was formerly registered with firms including Joseph Stone Capital, Primary Capital, and Newbridge Securities.
$100K Complaint Against Jackson Advisor Michael Chandler
A pending investor complaint against Infinex Investments financial advisor Michael Chandler (CRD# 2696470) alleges his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Jackson, Mississippi.
Ron Birnbaum: $200K Complaint Against Former Advisory Group Advisor
Former Newton, Massachusetts financial advisor Ron Birnbaum (CRD# 2382580) has received several investor complaints alleging that his recommendations resulted in losses. Financial Industry Regulatory Authority records show that he was most recently a broker with Advisory Group Equity Services and is no longer registered with any FINRA member firm.
Ivan Cen: Did Cetera Advisor Make Unauthorized Trades?
Millbrae, California financial advisor Ivan Cen (CRD# 5474263) has received investor complaints alleging unauthorized trading and other misconduct. Financial Industry Regulatory Authority records show that he is a broker and investment adviser with Cetera Investment Services and Cetera Investment Advisers. Also known as Shao Chen, he is additionally registered with the firm’s offices in… Read More »
Buddy Clark: $800K Complaint Against Petersen Investments Advisor
Buddy Clark (CRD# 1431762), a financial advisor based in Wall, New Jersey, recently received an investor complaint alleging more than $800,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cadaret Grant & Company, doing business as Petersen Advisors.
Vince Annable: $600K Complaint Against Wealth Strategies Advisor
Scottsdale financial advisor Vince Annable (CRD# 1033573) has received an investor complaint alleging the recommendation of unsuitable and illiquid investments. Financial Industry Regulatory Authority records show that he is a broker with Coastal Equities, doing business as Wealth Strategies Advisory Group.
New REIT Complaint Against Leo Chien, San Gabriel Broker
Cetera Investment Services advisor Leo Chien (CRD# 4169619) has received several investor complaints. Financial Industry Regulatory Authority records show that he is a broker and investment adviser based in San Gabriel, El Monte, and Alhambra, California.
Virg Cristobal: Complaint Against Former Lincoln Financial Advisor
San Francisco financial advisor Virg Cristobal (CRD# 4662399) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is a representative of Chrome Advisors and was formerly a broker with SagePoint Financial and Lincoln Financial Advisors.
William Platt: GPB Complaint Against NYC Momentum Advisor
William Platt (CRD# 4558339), a financial advisor in New York City, has received an investor complaint concerning an investment in GPB Capital. Financial Industry Regulatory Authority records show that he is a broker and investment adviser with Purshe Kaplan Sterling and Momentum Advisors, respectively.
Jim Parrelly: FINRA Investigates, Bars Parrelly Financial Group Advisor
The Financial Industry Regulatory Authority has barred Dearborn financial advisor Jim Parrelly (CRD# 728368) in connection with allegations he refused to cooperate with an investigation into his conduct. FINRA and Securities and Exchange Commission records show that the Parrelly Financial Group representative was formerly a broker with Investment Planners and is currently an investment… Read More »
