Irvine, California financial advisor Jim Raia (CRD# 2397301) has received multiple investor complaints alleging that his advice resulted in damages....
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James Sophia: $50K Complaint Against Ex-Morgan Stanley Advisor
Shaker Heights, Ohio financial advisor James Sophia (CRD# 3222645) was terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley broker is currently registered with Vanderbilt Securities.
Sandro Olivos: Wells Fargo Advisor Faces NorthStar Complaint
A recent investor complaint against Key Biscayne, Florida financial advisor Sandro Olivos (CRD# 3228574) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Wells Fargo Clearing Services.
Nicholas Jembelis: $150K Complaint Against David Lerner Advisor
White Plains, New York financial advisor Nicholas Jembelis (CRD# 4028696) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with David Lerner Associates.
Michael Lehman: $300K Complaint Against Ex-UBS Advisor
Farmington Hills, Michigan financial advisor Michael Lehman (CRD# 4999885) 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 and an investment advisor with Ameriprise Financial Services.
Todd Welsh: Ex-UBS Advisor Receives $100K Complaint
Tulsa, Oklahoma financial advisor Todd Welsh (CRD# 3214419) recently received an investor complaint alleging due diligence failures. Financial Industry Regulatory Authority records show that he is registered as a broker with Level Four Financial and an investment advisor with Scissortail Wealth Management.
Steve Bransburg: Gradient Advisor Fired by AllState
Conroe, Texas financial advisor Steve Bransburg (CRD# 1003470) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former AllState Financial Services representative is currently registered as a broker with Gradient Securities.
Leonard Suskind: UBS Advisor Received $1.5mm Complaint
A recent, denied investor complaint against Hallandale Beach, Florida financial advisor Leonard Suskind (CRD# 1140599) alleged that his conduct resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Fred Hilton: $500K Complaint Against LPL Advisor
Gainesville, Florida financial advisor Fred Hilton (CRD# 2161935) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as CAMPUS Investment Services.
Walter Schram: Ameriprise Advisor Lands $300K Complaint
A recent investor complaint against Farmington Hills, Michigan financial advisor Walter Schram (CRD# 1728096) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
James Peterson: Did Raymond James Advisor Misappropriate Funds?
St. Cloud, Minnesota financial advisor James Peterson (CRD# 1804629) recently received an investor complaint alleging that he misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services, and that he is a representative of Bremer Investments.
