A recent investor complaint against Highland Village, Texas financial advisor Mike Morrison (CRD# 1730240) alleges that he misrepresented and recommended...
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Patricia Holder: Bond Complaint Against Insigneo Advisor
Miami financial advisor Patricia Holder (CRD# 2894768) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Insigneo Securities and Insigneo Advisory Services, respectively, doing business Phoenix Private Client Group.
Jared Gudenkauf: $1mm Complaint Against Merrill Advisor
A recent investor complaint against Kansas City, Missouri financial advisor Jared Gudenkauf (CRD# 4591389) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Simon Joseph: FINRA Sanctions Ex-LPL Advisor
Former Alexandria, Virginia financial advisor Simon Joseph (CRD# 5602157) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with LPL Financial, having previously been registered with Momentum Independent Network and Truist Investment Services.
James Walesa: FINRA Files Complaint Against Ex-Arkadios Advisor
Former Park Ridge, Illinois financial advisor James Walesa (CRD# 1061209) was recently named respondent in a complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Arkadios Capital, having previously been registered with Triad Advisors.
Brent Ditto: FINRA Suspends LPL/Ditto Financial Advisor
Elizabethtown, Kentucky financial advisor Brent Ditto (CRD# 4779103) was recently sanctioned in connection with allegations he recommended an investment that was not in a customer’s best interest. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Ditto Financial Group.
Amber Stoll: $2mm Complaint Against Cetera, Ex-Merrill Advisor
Overland Park, Kansas financial advisor Amber Stoll (CRD# 6937254) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisers.
Jason Hawke: $200K Complaint Against DH Hill Advisor
Meridian, Idaho financial advisor Jason Hawke (CRD# 4177415) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with DH Hill Securities and an investment advisor with Hawke Financial Group.
Victor Sibilla: WestPark Advisor Lands $100K Complaint
A recent investor complaint against Boca Raton, Florida financial advisor Victor Sibilla (CRD# 1783361) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with WestPark Capital.
Marilyn Hoosen: eGOLI Advisor Lands Mutual Fund Complaint
Recent investor complaints against Alexandria, Virginia financial advisor Marilyn Hoosen (CRD# 4639441) allege that she made unauthorized and excessive trades. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Stifel Independent Advisors, doing business as eGOLI Wealth Advisors.
Duncan MacEachern: $200K Complaint Against Celtic Wealth Advisor
Rochester, Michigan financial advisor Duncan MacEachern (CRD# 1856591) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Celtic Wealth Management Group.
