Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Mark Rubin: $550K Complaint Against Raymond James Advisor
San Rafael, California financial advisor Mark Rubin (CRD# 1936202) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
William Chan: $550K Complaint Against Citi Advisor
A recent investor complaint against Rowland Heights, California financial advisor William Chan (CRD# 3103541) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
Jim Schenk: Merrill Advisor Lands Investor Complaint
Indianapolis, Indiana financial advisor Jim Schenk (CRD# 4035283) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Morgan Stanley.
Nick Centis: $10mm Complaint Against JP Morgan Advisor
San Francisco, California financial advisor Nick Centis (CRD# 6187468) recently received an investor complaint alleging that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
David Hoover: $976K Complaint Against Stifel Advisor
A recent investor complaint against San Francisco, California financial advisor David Hoover (CRD# 1722534) alleges that his conduct resulted in damages exceeding $900,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus.
Larry Tolbert: $113K Complaint Against Radian Advisor
Recent investor complaint against Memphis, Tennessee financial advisor Larry Tolbert (CRD# 1054714) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Integrity Alliance, doing business as Radian Partners.
Fred Hohensee: FINRA Suspends Abacus Advisor
Oconomowoc, Wisconsin financial advisor Fred Hohensee (CRD# 1431948) was recently suspended and fined in connection with allegations involving the sale of structured note products. Financial Industry Regulatory Authority records show that he is registered as a broker with Abacus Investments and an advisor with Hohensee Financial Services.
Rod Uy: $750K Complaint Against LifePoint Advisor
Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as LifePoint Wealth Management.
James Poindexter: $624K Complaint Against Financial Coach Advisor
Prescott, Arizona financial advisor James Poindexter (CRD# 1867899) recently received an investor complaint alleging that his conduct resulted in damages exceeding $600,000. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services and an advisor with Independent Wealth Network, doing business as The Financial Coach.
Ron Oliver: Stifel Advisor Received $700K Complaint
A recent, denied investor complaint against Irvine, California financial advisor Ron Oliver (CRD# 1666760) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
