Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Abtin Bashirazami: $241K Complaint Against TransAmerica Advisor
Columbus, Ohio financial advisor Abtin Bashirazami (CRD# 7526170) recently received an investor complaint alleging that his conduct resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker with TransAmerica Financial Advisors.
Brian Davis: Why Was UBS Advisor Fired from Morgan Stanley?
Greenville, Delaware financial advisor Brian Davis (CRD# 1269412) was fired by a former member firm in connection with alleged rule violations. 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 Morgan Stanley.
Gene King: Easement Complaint Against Ex-Sequence Advisor
Mt. Pleasant, South Carolina financial advisor Gene King (CRD# 1542794) recently received an investor complaint alleging misconduct in connection with a conservation easement investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Exemplar Capital.
Tom Baer: $135K Complaint Against TBaer Wealth Advisor
Erie, Pennsylvania financial advisor Tom Baer (CRD# 1663820) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, as well as a representative of TBaer Wealth Management.
David Lerner: FINRA Suspends Madison Global Advisor
Hauppage, New York financial advisor David Lerner (CRD# 1883553) was recently suspended in connection with allegations that he improperly used a personal email account for securities-related communications. Financial Industry Regulatory Authority records show that he is registered as a broker with Madison Global Partners, having previously been registered with Network 1 Financial Securities.
Stan Crisci: RBC Advisor Lands $100K Complaint
A recent investor complaint against Indianapolis financial advisor Stan Crisci (CRD# 2687393) 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 RBC Capital Markets, whose website describes him as a member of the Crisci Stine Walters Investment… Read More »
Mike Hoye: $280K GWG Complaint Against Ausdal Advisor
Schaumburg, Illinois financial advisor Mike Hoye (CRD# 3029864) 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 Ausdal Financial Partners.
Norman Meyer: Vestech Advisor Receives $650K Complaint
St. Louis financial advisor Norman Meyer (CRD# 3185642) allegedly recommended unsuitable REITs and annuities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NI Advisors and Vestech Securities, as well as an investment advisor with Vestech Asset Management. He is the president of… Read More »
Tyler Childs: Options Complaint Against UBS Advisor
Birmingham, Michigan financial advisor Tyler Childs (CRD# 6057499) recently received an investor complaint alleging that an options trading strategy resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Robert Jones: $300K Complaint Against Edward Jones Advisor
Russellville, Alabama financial advisor Robert Jones (CRD# 4469629) recently received an investor complaint alleging that his conduct resulted in damages of $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
