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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Thomas Murray: $300K Complaint Against Wells Fargo Rep
Thomas Murray (CRD# 1186933), a broker and financial advisor based in Pasadena, recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of Wells Fargo Clearing Services.
C. Chance Carson: $300K L-Bond Complaint Against Colorado Springs Rep
Colorado Springs broker and financial advisor C. Chance Carson (CRD# 41892), who was recently sanctioned by the Securities and Exchange Commission, has received a pending investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of Intervest International Equities Corporation, doing business as C. Chance Carson and Associates.
Ex-WeathForge Rep Matt McFarland: NP Skyloft Complaint
Former WealthForge Securities representative Matt McFarland’s BrokerCheck report (CRD# 6675310) lists pending investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that the Torrance, California broker is now registered with FNEX Capital.
ProShares Complaint Against Larson Financial’s Jonathan Krueger
Jonathan Krueger (CRD# 4416059), a broker and financial advisor based in St. Louis, has received a pending investor complaint alleging misconduct. Financial Industry Regulatory Authority records show that he is a representative of Larson Financial Group and LionsGate Advisors.
New Complaint Against Brian Visconti, Fired Raymond James Broker
A pending investor complaint alleges former Raymond James & Associates representative Brian Visconti (CRD# 5851551) made improper investment recommendations. Financial Industry Regulatory Authority records show that the Tampa, Florida broker and financial advisor is now registered with The Jeffrey Matthews Financial Group
Westlake Village Broker Thomas Swan Under SEC Investigation
The US Securities and Exchange Commission is investigating Westlake Village, California stockbroker Thomas Swan (CRD# 1698430) over alleged violations of federal securities laws. According to Financial Industry Regulatory Authority records, the Western International Securities representative has also received an investor complaint alleging he made negligent misrepresentations.
New Investor Complaints Against Sunrise Investment’s Celia Zhang
Investor complaints against San Gabriel stockbroker Celia Zhang (CRD# 5918387) allege that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered with Independent Financial Group, doing business as Sunrise Investment Capital. She is also known as Hui Zhang.
Christopher McCaffrey: $15mm Options Complaint Against Napa Rep
A pending investor complaint against Morgan Stanley representative Christopher McCaffrey (CRD# 2735236) alleges his recommendations led to $15 million in damages. Financial Industry Regulatory Authority records show that he is a broker and financial advisor based in Napa, California.
Brandon Stalcup: Little Rock Rep Allegedly Made Unauthorized Trades
Former Little Rock, Arkansas stockbroker Brandon Stalcup (CRD# 4024498) recently received an investor complaint that reached settlement. Financial Industry Regulatory Authority records show that the ex-Veritas Independent Partners representative is no longer registered as a broker, though he is a financial advisor affiliated with The Cabana Group.
Churning Complaint Against NYC Rep Joseph DeSapio
Spartan Capital Securities representative Joseph DeSapio (CRD# 5837553) allegedly churned investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a stockbroker registered with the firm’s office in New York, New York.
