A recent investor complaint against Livingston, New Jersey financial advisor Jeff Morrison (CRD# 3200399) alleged negligence involving a corporate bond...
Read MoreAuthor Archives: chase@carlson-law.com
Randy Moshtael: $400K Complaint Against Oppenheimer Advisor
Los Angeles financial advisor Randy Moshtael (CRD# 1036474) 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 and an investment advisor with Oppenheimer & Company.
Matt Mitchell: BOK Financial Advisor Faces $300K Complaint
Tulsa, Oklahoma financial advisor Matt Mitchell (CRD# 4908737) allegedly failed to disclose the risks of 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 BOK Financial Securities.
Leigh Allen: LPL Advisor Allegedly Made Unauthorized Sale
Battle Ground, Washington financial advisor Leigh Allen (CRD# 5711971) recently received an investor complaint alleging that he made an unauthorized trade. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Excell Wealth Partners.
Kyle Lindner: $142K Complaint Against Ex-State Farm Advisor
A recent investor complaint alleges that former Katy, Texas financial advisor Kyle Lindner (CRD# 5421697) made a recommendation that resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he was previously registered as a broker with State Farm VP Management Corporation.
Sherwin Sargeant: FINRA Bars PlanMember Advisor After Crypto Probe
Former Orlando, Florida financial advisor Sherwin Sargeant (CRD# 5096798) has been barred by FINRA in connection with allegations of undisclosed outside business activities. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PlanMember Securities Corporation.
Jeremy Burch: Wells Fargo Advisor Resigns, Joins Merrill
Miami, Florida financial advisor Jeremy Burch (CRD# 4073551) recently resigned from Wells Fargo while under review for concerns involving his conduct. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Merrill Lynch.
Fridtjov Markussen: AMJ Financial Advisor Faces $150K Complaint
A recent investor complaint against Leesburg, Virginia financial advisor Fridtjov Markussen (CRD# 4323396) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Osaic Wealth and an investment advisor with AMJ Financial Wealth Management.
Conrad Corcoran: Centaurus Advisor Faces Suitability Complaints
Anaheim, California financial Conrad Corcoran (CRD# 1009857) allegedly recommended unsuitable and high-risk investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Centaurus Financial, doing business as Catalina Investments.
Beck Giyazov: Wells Fargo Advisor Allegedly Misled Investor
A recent investor complaint against Los Angeles financial advisor Beck Giyazov (CRD# 5511723) 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 Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Jack Bailey: FINRA Investigates Bailey & Co. Advisor
Brentwood, Tennessee financial advisor Jack Bailey (CRD# 5708044) was recently investigated in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Bailey & Company Securities.
