Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Chris Polimeni: $1.6mm Complaint Against WIS Advisor
Irvine, California financial advisor Chris Polimeni (CRD# 1643121) recently received an investor complaint alleging that he converted a customer’s assets. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities.
Scott Morrison: $3mm Complaint Against BRAVE Advisor
Providence, Rhode Island financial advisor Scott Morrison (CRD# 1878820) allegedly embezzled funds and charged unauthorized fees, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Stillpoint Capital broker is currently registered as an investment advisor with BRAVE Family Advisors.
Jeff Webb: Emerson Advisor Lands $200K Complaint
San Mateo, California financial advisor Jeff Webb (CRD# 6486331) 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 Emerson Equity, and that he is the founder and CEO of Mountain Financial.
Tony King: UBS Advisor Faces Unauthorized Trading Allegations
A recent investor complaint against Clayton, Missouri financial advisor Tony King (CRD# 6012568) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Shalom Azar & Sandy Fischman: Morgan Stanley Advisors Face Complaint
Paramus, New Jersey financial advisors Shalom Azar (CRD# 7125424) and Sandy Fischman (CRD# 5902109) recently received an investor complaint alleging that they recommended an unsuitable investment. Financial Industry Regulatory Authority records show that they are each registered as a broker and an investment advisor with Morgan Stanley.
Thanasi Tomaras: RF Lafferty Advisor Lands $500K Complaint
New York City financial advisor Thanasi Tomaras (CRD# 2722538) 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 RF Lafferty & Company.
David Curry: $500K Complaint Against Arkadios Advisor
A recent investor complaint against Atlanta, Georgia financial advisor David Curry (CRD# 4506561) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Arkadios Capital and an investment advisor with East Paces Group.
Brent Pine: $250K Complaint Against CWM, Ex-Geneos Advisor
Scottsdale, Arizona financial advisor Brent Pine (CRD# 1618007) allegedly made improper investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cetera Advisor Networks broker is currently registered as an investment adviser with CWM, doing business as Carson Wealth.
Ahmad Quqa: $715K Complaint Against Ex-Edward Jones Advisor
Cary, North Carolina financial advisor Ahmad Quqa (CRD# 6737928) recently received an investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Private Client Services and an investment advisor with RFG Advisory, doing business as Crescent Private Wealth.
Henrique Lucena: Morgan Stanley Advisor Receives $1mm Complaint
A recent investor complaint against Coral Gables, Florida financial advisor Henrique Lucena (CRD# 5605196) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Laidlaw & Company, having previously been registered with Morgan Stanley.
