A recent, denied investor complaint against Fort Worth, Texas financial advisor Joseph Lenderman (CRD# 7128657) alleged that his conduct resulted...
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Taylor Armstrong: $5mm Complaint Against Aurora Advisor
Kirkland, Washington financial advisor Taylor Armstrong (CRD# 6984140) 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 with Aurora Securities and an investment advisor with Secure Asset Management, doing business as Real Estate Transition Solutions.
Brian Zimmerman: $125K ARC REIT Complaint Against IFG Advisor
A recent investor complaint against San Diego, California financial advisor Brian Zimmerman (CRD# 2401501) alleges that he failed to disclose the risk associated with an investment recommendation. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Zimmerman Private Wealth… Read More »
Roger Bowlin: $5mm Complaint Against Aurora Securities Advisor
Kirkland, Washington financial advisor Roger Bowlin (CRD# 1905652) has received multiple investor complaints alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Aurora Securities and Secure Asset Management, respectively, doing business as RW Bowlin Investment Solutions.
Steve Franko: FINRA Suspends Independence Capital Advisor
Mt. Vernon, Ohio financial advisor Steve Franko (CRD# 2157707) was recently suspended and fined in connection with allegations relating to the sale of GWG L Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independence Capital.
Thomas Scheiman: Independence Capital Advisor Suspended, Fined
Parma, Ohio financial advisor Thomas Scheiman (CRD# 1508288) was recently suspended and fiend in connection with the recommendation of a GWG L Bond. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independence Capital.
Ashley Romiti: DST Complaint Against Realta, Ex-Emerson Advisor
San Juan Capistrano, California financial advisor Ashley Romiti (CRD# 7636987) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively.
Austin Bowlin: Aurora Advisor Faces $1mm Complaint
Kirkland, Washington financial advisor Austin Bowlin (CRD# 5674142) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Aurora Securities and an investment advisor with Secure Asset Management, doing business as Real Estate Transition Solutions.
Eva Fernandez: Merrill Advisor Faced Denied Complaint
A recent, denied investor complaint against Virginia Beach, Florida financial advisor Eva Fernandez (CRD# 6289901) alleged that she made unauthorized trades. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with First Command Financial Planning.
Brian Abbott: Why Did Cambridge Fire CreativeOne Advisor?
Lawrence, Kansas financial advisor Brian Abbott (CRD# 3222569) was recently terminated from his former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cambridge Investment Research Advisors broker is currently registered as an investment advisor with CreativeOne Wealth.
Kirk Crossen: FINRA Files Complaint Against Ex-Morgan Stanley Advisor
A recent regulatory complaint against former Carmel, Indiana financial advisor Kirk Crossen (CRD# 2742256) alleges that he improperly borrowed money from a senior customer. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Raymond James & Associates, but that he has been suspended from acting as a… Read More »
