Investment firms Osaic Wealth and Stifel Nicolaus & Company may have improperly recommended investments in the Easterly ROCMuni High Income...
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Tammy Bowman: Janney Advisor Lands $140K Complaint
Royersford, Pennsylvania financial advisor Tammy Bowman (CRD# 2159262) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Janney Montgomery Scott, whose website describes her as a member of Bowman Maurer Wealth Management, a practice within… Read More »
Joel Minner: $65K Complaint Against Ex-Avantax Advisor
Clarksville, Tennessee financial advisor Joel Minner (CRD# 6829281) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Avantax Investment Services broker is registered as an investment advisor with Optional Financial Strategies. He is also the vice president of… Read More »
P. Alison Fleming: $500K Complaint Against Lumena Advisor
A recent investor complaint against San Diego financial advisor P. Alison Fleming (CRD# 1960175) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Lumena Financial Services.
John Lemak: $475K Complaint Against Axiom Advisor
New York City financial advisor John Lemak (CRD# 845891) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Axiom Capital Management and an investment advisor with Sandor Advisors.
Joe Notarfrancesco: $194K Complaint Against 58 Group Advisor
Melville, New York financial advisor Joe Notarfrancesco (CRD# 6006136) 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 Morgan Stanley, whose website describes him as a member of The 58 Group, a… Read More »
Joe Zheng: JK Financial Advisor Faces $1.9 Million Complaint
Norco, California financial advisor Joe Zheng (CRD# 2318835) recently received an investor complaint alleging that his advice resulted in damages exceeding $1.9 million. Financial Industry Regulatory Authority records show that he is registered as a broker with JK Financial Services.
Chris Calabresi: Charles Schwab Denies $1mm Complaint Against Advisor
A recent investor complaint against Naples, Florida financial advisor Chris Calabresi (CRD# 6554389) alleged that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab & Company.
James Christopher: LPL Advisor Faces Structured Product Complaint
Long Island City financial advisor James Christopher (CRD# 5761273) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Webster Investments.
Jeremy Maurer: Wells Fargo Advisor Lands $172K Complaint
A recent investor complaint against Roseville, California financial advisor Jeremy Maurer (CRD# 5801701) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Kevin Dauphinee: $100K-$500K Complaint Against Ex-Portsmouth Advisor
Las Vegas financial advisor Kevin Dauphinee (CRD# 5847437) allegedly provided unsuitable investment advice, according to a recent investor complaint. Securities and Exchange Commission records show that the former Portsmouth Financial Services broker is currently registered as an investment advisor with CreativeOne Wealth and is a representative of Gold Standard Wealth Management.
