Nashville, Tennessee financial advisor Dorris Jones (CRD# 735200) recently received an investor complaint alleging that her advice resulted in six-figure...
Read MoreAuthor Archives: chase@carlson-law.com
$220K Investor Complaint Against McDonough Advisor Peter Dorn
An investor complaint against Cape Securities financial advisor Peter Dorn (CRD# 1089858) alleges that he recommended unsuitable speculative investments. Financial Industry Regulatory Authority records show that he is a broker based in McDonough, Georgia, having previously been registered with Wall Street Strategies in West Des Moines, Iowa.
Walter Howard: $300K REIT Complaint Against Naples IFG Advisor
Independent Financial Group advisor Walter Howard (CRD# 717601), also known as Charles Howard, has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that Mr. Howard is a broker registered with IFG in Naples, Florida.
Sam Sutterfield: $100K Complaint Against Modern Wealth Advisor
Tucson financial advisor Sam Sutterfield (CRD# 5988560) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Centaurus Financial, doing business as Modern Wealth Management.
Austin Mastro: $11 Million Investor Complaint Against Mineola Advisor
Joseph Stone Capital broker Austin Mastro (CRD# 6323031) has received an investor complaint alleging more than $11 million in damages. Financial Industry Regulatory Authority records show that he is registered in Mineola, New York, and was previously a representative of Worden Capital Management.
Team Duncan’s Amy L. Duncan: $1.3mm Investor Complaint
Denver financial advisor Amy L. Duncan (CRD# 4193765) has received an investor complaint alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that she is a representative of Moloney Financial Services, doing business as Team Duncan Financial.
Justin Connors: $400K Complaint Against Connors Wealth Advisor
Justin Connors (CRD# 2805785), a financial advisor based in Cocoa Beach, Florida, has received a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of IFP Securities, doing business as Connors Wealth Management.
Robert Smith: GPB Complaints Against Peregrine Private Capital Advisor
Newberg, Oregon financial advisor Robert Smith (CRD# 1412333) allegedly sold unsuitable investments in GPB Capital, according to investor complaints against him. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity, doing business as Peregrine Private Capital.
John Marcheso: $1mm Complaint Against Marcheso & Associates Advisor
Coeur D’Alene financial advisor John Marcheso (CRD# 869337) has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority records show that Mr. Marcheso is a representative of Centaurus Financial, doing business as Marcheso & Associates.
Thomas Baumann: FINRA Recommends Sanction Against Ex-Spartan Advisor
The Financial Industry Regulatory Authority recently recommended disciplinary action against Thomas Baumann (CRD# 5254392) a financial advisor previously with Spartan Capital Securities. FINRA records show that he was last based in New York City and has received several investor complaints alleging unsuitability, churning, and other forms of misconduct.
Center Street’s Joe LaTour: GWG Complaint Alleges $100K-$500K Damages
Springfield, Missouri financial advisor Joe LaTour (CRD# 4436861) allegedly recommended unsuitable investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with LaTour Asset Management, offering securities through Center Street Securities.
