New York City financial advisor Mack Miller (CRD# 2822317) was recently sanctioned and suspended in connection with alleged excessive and...
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Tom Hartfield: $400K Complaint Against Hartfield Financial Advisor
Granada Hills, California financial advisor Tom Hartfield (CRD# 4664847) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Western International Securities broker is currently registered as an investment advisor with Hartfield Financial & Insurance Services.
Bill Young: Ex-Kingswood Capital Advisor Faces GWG Complaint
Rockville, Maryland financial advisor Bill Young (CRD# 4787488) recently received an investor complaint alleging that he misrepresented an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Bo Anderson: $50K Oil & Gas Complaint Against Ex-ProEquities Advisor
West Des Moines, Iowa financial advisor Bo Anderson (CRD# 5340479) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Avantax Investment Services broker is currently registered as an investment advisor with Mariner Wealth.
Tim Van Dyken: Ameriprise Advisor Faces State Regulatory Action
Mt. Vernon, Washington financial advisor Tim Van Dyken (CRD# 5918814) was recently named in a regulatory action by the State of Washington Securities Division. Financial Industry Regulatory Authority records show that the former Edward Jones representative is currently registered as a broker and an investment advisor with Ameriprise Financial Services.
Ryan Caldwell: Why Did Morgan Stanley Fire AIML Trading Advisor?
Cold Spring Harbor, New York financial advisor Ryan Caldwell (CRD# 6642132) recently received an investor complaint alleging that he executed unauthorized trades. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is registered as an investment advisor with AIML Trading Partners.
Eric Felsenfeld: Ameriprise Advisor Faces GWG Complaint
Rockville, Maryland financial advisor Eric Felsenfeld (CRD# 4496689) recently received an investor complaint alleging that he misrepresented an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Kingswood Capital Partners.
Cathy Wu: REIT Complaint Against Cetera Advisor
Arcadia, California financial advisor Cathy Wu (CRD# 4924232) allegedly misrepresented real estate investment trusts, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Cetera Investment Services and an advisor with Cetera Investment Advisers.
Edward Rudiger: $1.2mm Complaint Against Reid & Rudiger Advisor
New York City financial advisor Edward Rudiger (CRD# 2118724) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Reid & Rudiger.
Sonja Parker: Edward Jones Advisor Receives Investor Complaint
Inman, South Carolina financial advisor Sonja Parker (CRD# 5506435) allegedly made an unauthorized funds transfer, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Edward Jones.
Harold Puhl: $100K Complaint Against Cetera Advisor
Leander, Texas financial advisor Harold Puhl (CRD# 1045552) 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 with Cetera Investment Services and an advisor with Cetera Investment Advisers.
