Irvine, California financial advisor Jim Raia (CRD# 2397301) has received multiple investor complaints alleging that his advice resulted in damages....
Read MoreAuthor Archives: chase@carlson-law.com
Iryna Warren: Merrill Denies Complaint Against Advisor
A recent, denied investor complaint against Washington, DC financial advisor Iryna Warren (CRD# 6286876) alleged that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Michael Graham: LPL Advisor Faces $276K Complaint
El Paso, Texas financial advisor Michael Graham (CRD# 3263494) 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 LPL Financial, doing business as Graham Capital Strategies.
Nick Ellis: $70K Bond Complaint Against Ex-Centaurus Advisor
Tustin, California financial advisor Nick Ellis (CRD# 1082891) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services. He is also the president of Ellis Advisory Group.
Ken Hamada: Avantax Advisor Landed REIT Complaint
A recent, denied investor complaint against Prescott, Arizona financial advisor Ken Hamada (CRD# 2661699) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Avantax, doing business as Hamada Wealth Management.
Anibal Drelichman: $115K Complaint Against UBS, ex-RBC Advisor
Washington, DC financial advisor Anibal Drelichman (CRD# 2916477) recently received an investor complaint alleging that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, having previously been registered with RBC Capital Markets.
Joshua Helmle: Ex-Integrity Broker Faced GWG Complaint
Former Monterey Park, California financial advisor Joshua Helmle (CRD# 2195760) allegedly recommended unsuitable GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Integrity Brokerage.
James Burton: $110K Complaint Against Farmers Financial Advisor
Former Bakersfield, California financial advisor James Burton (CRD# 5051310) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Farmers Financial Solutions.
Colleen Maron: $2.16mm DST Complaint Against Ex-PKS Advisor
Former Albany, New York financial advisor Colleen Maron (CRD# 2211633) allegedly recommended unsuitable Delaware Statutory Trusts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she was previously registered as a broker and an investment advisor with Purshe Kaplan Sterling.
Victoria Bogner: $210K Complaint Against Allworth, Ex-Cetera Advisor
Lawrence, Kansas financial advisor Victoria Bogner (CRD# 5048328) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
Keith Morgan: Ex-UBS Advisor Faces Suitability Complaint
Lake Oswego, Oregon financial advisor Keith Morgan (CRD# 3139407) allegedly recommended an unsuitable 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 Steward Partners.
