Former New York City financial advisor Eric Kleiner (CRD# 4135180) was recently sanctioned and barred in connection with alleged rule...
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Lester Hamrick: MML Advisor Lands $100K-$500K Complaint
Tallahassee, Florida financial advisor Lester Hamrick (CRD# 5208155) recommended an unsuitably risky investment strategy, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Francesco Traina: $20mm Complaint Against Brickell 21 Advisor
Miami, Florida financial advisor Francesco Traina (CRD# 5025477) recently received an investor complaint alleging that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor at Raymond James Financial Services.
Mike Lickiss: Ex-Arkadios Advisor Faces $2.3mm Complaint
UPDATE: Carlson Law is representing a former client of Mr. Lickiss who lost approximately $1 million investing in promissory notes offered by Mr. Lickiss’s father. Multiple investor complaints against Danville, California financial advisor Mike Lickiss (CRD# 5135936) allege misconduct in connection with investments recommended by his father, Edwin Lickiss. Financial Industry Regulatory Authority and… Read More »
Adam Brown: $350K Complaint Against St. Bernard Financial Advisor
Jonesboro, Arkansas financial advisor Adam Brown (CRD# 4905935) recently received an investor complaint alleging 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 St. Bernard Financial Services, doing business as Banks and Brown.
Angelo Piccone: FINRA Suspends Piccone Wealth Advisor
Former Pittsford, New York financial advisor Angelo Piccone (CRD# 1401761) has been sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with IBN Financial Services, doing business as Piccone Wealth Management.
Patrick Maguire: $1.2mm Complaint Against Greenberg & Rapp Advisor
A recent investor complaint against Morristown, New Jersey financial advisor Patrick Maguire (CRD# 4892680) alleges that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with M Holdings Securities, as well as a representative of Greenberg & Rapp.
Carolyn Wyatt: Arrowhead Wealth Advisor Received $120K Complaint
Glendora, California financial advisor Carolyn Wyatt (CRD# 4071929) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Western International Securities, doing business as Arrowhead Wealth Advisors.
Carlton Fletcher: FINRA Bars Ex-Dinosaur Financial Advisor
Former New York City financial advisor Carlton Fletcher (CRD# 2455798) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Dinosaur Financial Group.
Al Vanderlaan: FINRA Suspends Ex-WestPark Advisor over GWG L-Bonds
Former Watertown, South Dakota financial advisor Al Vanderlaan (CRD# 1172406) was recently sanctioned in connection with allegedly unsuitable GWG L bond sales. Financial Industry Regulatory Authority records show that he was previously registered as a broker with WestPark Capital, and before that, Sandlapper Securities.
Michael Tannery: $150K Complaint Against Tannery Company Advisor
A recent investor complaint against Richardson, Texas financial advisor Michael Tannery (CRD# 1538345) 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 Independent Financial Group, doing business as Tannery Company.
