Former New York City financial advisor Eric Kleiner (CRD# 4135180) was recently sanctioned and barred in connection with alleged rule...
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Robert Moon: $4mm Complaint Against Moon Wealth Advisor
Bethesda, Maryland financial advisor Robert Moon (CRD# 2431875) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Merrill Lynch.
Christopher Christensen: FINRA Complaint Against ex-iCap CEO
Former Issaquah, Washington financial advisor Christopher Christiansen (CRD# 7680869) is the subject of a FINRA complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was previously registered as a broker and an investment advisor with Airlink Markets.
Kevin Albritton: $575K Complaint Against Albritton Financial Advisor
Former St. Louis, Missouri financial advisor Kevin Albritton (CRD# 727420) recently received an investor complaint that reached a settlement of more than $500,000. Financial Industry Regulatory Authority records show that he was previously a broker registered with Cambridge Investment Research and an investment advisor registered with Carson Wealth, doing business as Albritton Financial Services.
Bill Westcott: LPL Advisor Landed $190K ETF Complaint
A recent investor complaint against Tucson, Arizona financial advisor Bill Westcott (CRD# 1007101) alleged unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Bill Westcott Inc.
Michael Kelley: $2mm Complaint Against LPL/Charter Advisor
Indianapolis financial advisor Michael Kelley (CRD# 1021878) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Charter Advisory Corporation.
Will Brown & Stefan Gertsch: UBS Fires Advisors
Memphis, Tennessee financial advisors Will Brown (CRD# 6522004) and Stefan Gertsch (CRD# 5284354) were recently terminated by UBS Financial Advisors in connection with alleged rule violations. Financial Industry Regulatory Authority records show that each is registered as a broker with Kestra Investment Services and Kestra Private Wealth Services.
Opher Shallom: Wells Fargo Advisor Faced Options Complaint
A recent investor complaint against Wayzata, Minnesota financial advisor Opher Shallom (CRD# 4060644) alleges that he recommended an inappropriate strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors Financial Network.
Russ Cesari: Why Did Northwest Financial Fire LPL Advisor?
Herndon, Virginia financial advisor Russ Cesari (CRD# 2927448) was recently terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial, having previously been registered with Northwest Financial Advisors.
Mark Willets: Options Complaint Against Merrill Advisor
Scottsdale, Arizona financial advisor Mark Willets (CRD# 2151477) allegedly made unauthorized trades, 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.
Karen Yasukawa: Kikawa Group Advisor Lands $196K Complaint
A recent, denied investor complaint against Honolulu, Hawaii financial advisor Karen Yasukawa (CRD# 1540654) alleges 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 Raymond James & Associates.
