Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
Read MoreAuthor Archives: chase@carlson-law.com
Shanna Kehoe: Investor Complaint Against Carson Wealth Advisor
Las Vegas, Nevada financial advisor Shanna Kehoe (CRD# 4736468) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cetera broker is currently registered as an investment advisor with CWM, also known as Carson Wealth.
Douglas Behnfield: $4.2mm Complaint Against Morgan Stanley Advisor
Boulder, Colorado financial advisor Douglas Behnfield (CRD# 840887) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Chris Angelino: Misrepresentation Complaint Against Merrill Advisor
A recent investor complaint against Huntersville, North Carolina financial advisor Chris Angelino (CRD# 2685937) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Robin Cantore: Cetera Advisor Lands $100K-$500K Complaint
New Orleans, Louisiana financial advisor Robin Cantore (CRD# 2584058) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisers.
Sanjay Chandra: Private Placement Complaint Against TPEG Advisor
A recent investor complaint against Southlake, Texas financial advisor Sanjay Chandra (CRD# 5512809) alleges that his conduct violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities and an investment advisor with Trinity Investors.
John Sweeden: Cetera Advisor Receives Forgery Complaint
Richardson, Texas financial advisor John Sweeden (CRD# 1662776) recently received an investor complaint alleging forgery and other misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers.
Michael Principato: JP Morgan Advisor Faces $1 Billion Complaint
A recent investor complaint against Staten Island, New York financial advisor Michael Principato (CRD# 5237609) alleges that his conduct resulted in 10-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
William Sandeman: FINRA Bars Ex-Wedbush Advisor
Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Wedbush Securities and that he has received multiple investor complaints.
Philip Pike: $300K Complaint Against Herbert J. Sims Advisor
Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Herbert J. Sims.
Timothy Walsh: Xenith Advisor Sanctioned over Solaredge Strategy
Fort Worth, Texas financial advisor Timothy Walsh (CRD# 4666856) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was last registered as a broker with Fortune Financial Services.
