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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$1 Million Investor Complaint Against Edward Jones Rep Jim Bowdish
Raleigh stockbroker Jim Bowdish (CRD 3123554) allegedly caused at least $1 million in losses, according to a pending investor complaint against him. Financial Industry Regulatory Authority (FINRA) records show that he is a representative of Edward Jones who has previously received customer complaints that were denied by his member firm.
Tri-Star’s Mark Rothstein Has $100,000 REIT Complaint
Tri-Star Financial stockbroker Mark Rothstein (CRD# 1084659), whose firm offers securities through Independent Financial Group, has received a pending investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is based in El Segundo, California.
Eugene Garner: $650K Complaint Against David Lerner Rep
Lawrenceville, New Jersey stockbroker Eugene Garner (CRD# 4892619) has received an investor complaint alleging more than half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker affiliated with David Lerner Associates and an investment adviser affiliated with Spirit of America Management Corporation.
$500,000 Investor Complaint Against League City Rep Robert Kasten
Securities America stockbroker Robert Kasten (CRD# 1009160) recently received an investor complaint alleging $500,000 in damages. Financial Industry Regulatory Authority records show that he is a stockbroker based in League City, Texas, and an investment adviser affiliated with Robertson Wealth Management in Houston, Texas.
John Orlando: FINRA Alleges Churning by SW Financial Rep
Melbourne Beach, Florida broker John Orlando (CRD# 2002197) was recently named in a Financial Industry Regulatory Authority complaint alleging he churned and excessively traded in a customer account. FINRA records show that the SW Financial representative has a pending investor complaint seeking $1.2 million and damages, as well as a complaint that concluded with… Read More »
Sean Westbrook: 6-Figure Complaints Against Stifel Nicolaus Rep
Sean Westbrook (CRD# 5090374), a stockbroker in Pueblo, Colorado, has received two pending investor complaints alleging he made unsuitable investment recommendations. According to the Financial Industry Regulatory Authority, he is a broker and investment adviser registered with Stifel Nicolaus & Company.
Mark Jensen: LJM Fund Complaints Against Santa Fe Rep
Tembion Capital Management adviser Mark Jensen (CRD# 2748816) has received numerous investor complaints alleging he various forms of misconduct related to investments in LJM Preservation and Growth. According to the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), he is located in Santa Fe, New Mexico, and used to be… Read More »
Dave McNally: Elder Abuse Complaints Against San Antonio Rep
San Antonio stockbroker Dave McNally (CRD# 839798) has received investor complaints alleging various forms of wrongdoing. Financial Industry Regulatory Authority records show that he is a broker and investment adviser with McNally Financial Services Corporation. He is registered with the firm’s offices in San Antonio, Texas; Tallahassee, Florida; and Flint, Michigan.
Merrill Lynch’s William Keeney: Complaints Settled for 6-Figures
Newton, Massachusetts stockbroker William Keeney (CRD# 3082733) has received investor complaints that reached six-figure settlements. Financial Industry Regulatory Authority records show that he has been registered with Merrill Lynch as a broker and an investment adviser since 2009.
Daniel Loy: $1 Million Investor Complaint Against Milpitas Rep
LTK Wealth Management’s Daniel Loy (CRD# 3029654) has received pending investor complaints alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that he is registered with the Independent Financial Group branch in Milpitas, California as a broker and as an investment adviser. The most recent investor complaint disclosed on Mr…. Read More »
