Nashville, Tennessee financial advisor Dorris Jones (CRD# 735200) recently received an investor complaint alleging that her advice resulted in six-figure...
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Daniel Mann: GPB Complaint Against Cornerstone Wealth Advisor
Daniel Mann (CRD# 4592568), a broker and financial advisor in Las Vegas, has received a pending investor complaint alleging his actions caused six-figure losses. Financial Industry Regulatory Authority records show that he is a representative of Independent Financial Group, doing business as Cornerstone Wealth Management.
Robert McNamara: Cadaret Grant Advisor Sanctioned for Discretion Use
Albany broker Robert McNamara (CRD# 1207495) has twice been sanctioned by the Financial Industry Regulatory Authority in relation to findings that he exercised discretion without proper authorization. FINRA records show that he is a representative of Cadaret Grant & Company and was recently issued a 30-day suspension from acting as a broker.
Ameriprise Advisor Mark Lott Under Investigation by Everspire
Mark Lott (CRD# 5015817), a broker and financial advisor in Sandy, Utah, resigned from his former broker-dealer firm amidst allegations of policy violations. Financial Industry Regulatory Authority records show that he is now a representative of Ameriprise Financial Services.
Chad Barancyk: $1.8mm in Complaints Against Great Point Capital Rep
Chicago broker Chad Barancyk (CRD# 4921433) has received eight pending investor complaints alleging his recommendations caused almost $2 million in losses. Financial Industry Regulatory Authority records show that he is a representative of Great Point Capital and was formerly a representative of First Allied Securities.
Ken Daley: $100K REIT Complaint Against Allstate Advisor
Allstate Financial Services representative Ken Daley (CRD# 1774653) allegedly committed fraud relating to the sale of a non-traded real estate investment trust (REIT), according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is based in Boynton Beach, Florida.
Oil & Gas Complaint Against Rockland Advisor Christopher Cavallaro
Christopher Cavallaro (CRD# 2125009), a broker and investment advisor in Rockland, Massachusetts, has received a pending investor complaint concerning an oil and gas investment. Financial Industry Regulatory Authority (FINRA) records show that Cavallaro is a representative of LPL Financial, doing business as Integrated Financial Partners.
Ned Lubell: West Palm Beach Advisor Has Suitability Complaint
UBS Financial Services representative Ned Lubell (CRD# 2449026) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a stockbroker and investment advisor based in West Palm Beach, Florida.
Deerfield Beach Rep Mark Bushkin Allegedly Made Unauthorized Trades
Deerfield Beach, Florida broker and financial advisor Mark Bushkin (CRD# 2051696) recently received an investor complaint that settled for more than $50,000, according to Financial Industry Regulatory Authority records. He is a representative of Bushkin Financial Services, which offers securities through Avantax Investment Services.
$376K Complaint Against SW Financial Advisor Richard Reynolds
SW Financial representative Richard Reynolds (CRD# 2162706) has recently received investor complaints alleging his actions resulted in losses. Financial Industry Regulatory Authority records show that he is based in Melville, New York and was formerly affiliated with Worden Capital Management in Garden City, New York.
Ann Vanderslice: $250K Complaint Against Federal Benefits Rep
Ann Vanderslice (CRD# 5057784), a broker based in Lakewood, Colorado, has received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that she is a representative of Federal Benefits Made Simple, an E.A. Buck Company, which offers securities through Madison Avenue Securities.
