Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
Read MoreAuthor Archives: chase@carlson-law.com
Connor Green: Joseph Gunnar Advisor Lands Investor Complaint
A recent investor complaint against Uniondale, New York financial advisor Connor Green (CRD# 7448002) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Joseph Gunnar & Company.
Dominic Meyers: $300K REIT Complaint Against Cetera Advisor
San Diego, California financial advisor Dominic Meyers (CRD# 5107939) allegedly recommended an unsuitable investment, according to a recent investor complaint. 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, doing business as Lincoln Capital.
Jason Min: NYLife Advisor Faces Annuity Complaint
La Cañada Flintridge, California financial advisor Jason Min (CRD# 3220191) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies.
Roger Barnett: $250K REIT Complaint Against LPL Advisor
A recent investor complaint against Brentwood, Tennessee financial advisor Roger Barnett (CRD# 1209301) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial.
Ron York: DST Complaint Against Arkadios Advisor
Wall, New Jersey financial advisor Ron York (CRD# 4308987) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, doing business as Foresight Financial Partners.
Lisa Grosskopf: $450K Complaint Against Peak Brokerage Advisor
Burbank, California financial advisor Lisa Grosskopf (CRD# 3213930) recently received an investor complaint alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker with Peak Brokerage Services, having previously been registered with Gold Coast Securities.
Carlson Law Representing Clients of Kirk Badii and Independent Financial Group
Carlson Law, P.A. is representing clients of Kirk Badii, a Southlake, Texas financial advisor (CRD# 5829768) licensed with Independent Financial Group, doing business as Badii Financial Group. According to an arbitration filed by Carlson Law in October of this year, “Badii recklessly employed excessive leverage by taking out a loan against Claimant’s portfolio, amplifying… Read More »
John Lowry & Kim Monchik: Spartan Advisors Face Atlas Funds Complaint
New York City financial advisors John Lowry (CRD# 4336146) and Kim Monchik (CRD# 2528972) have been named in a regulatory complaint concerning the sale of membership interests in unregistered private funds. Financial Industry Regulatory Authority records show that each is registered as a broker with Spartan Capital Securities.
Jim Holmes: FINRA Suspends Fired Wells Fargo Advisor
Winston Salem, North Carolina financial advisor Jim Holmes (CRD# 2174697) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently registered as an investment advisor with THREE Magnolias Financial Advisors.
Jason Juhl: $98K Complaint Against Carson Wealth Advisor
A recent investor complaint against West Des Moines, Iowa financial advisor Jason Juhl (CRD# 5775449) alleges that his advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cetera Advisor Networks broker is currently registered as an investment advisor with Carson Wealth.
