A recent investor complaint against El Segundo, California financial advisor Victor Rodriguez (CRD# 2900010) alleged that his investment advice resulted...
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Eric Dupre: Barred Ex-Ameriprise Advisor Faces $3mm Complaint
Former San Antonio, Texas financial advisor Eric Dupre (CRD# 2174456) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Ameriprise Financial Services and that he has received an investor complaint alleging 7-figure damages.
Chuck Roberts: Barred Ex-Stifel Advisor Faces 7-Figure Complaints
Former New York City and Miami financial advisor Chuck Roberts (CRD# 2064602) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Stifel Nicolaus & Company.
Anthony Clifford: Suitability Complaint Against Wells Fargo Advisor
San Francisco, California financial advisor Anthony Clifford (CRD# 6285441) recently received an investor complaint alleging that his advice resulted in damages. 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.
Kirk Klein: Koss Olinger Advisor Faces $1mm Complaint
A recent investor complaint against Gainesville, Florida financial advisor Kirk Klein (CRD# 2260326) alleges that his conduct resulted in $1 million in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Valmark Securities broker is currently registered as an investment advisor with Koss Olinger Consulting.
Jay Spieler: Oppenheimer Advisor Lands $300K Complaint
Coral Gables, Florida financial advisor Jay Spieler (CRD# 1072642) allegedly committed fraud, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
Derek Johnson: $750K Complaint Against Morgan Stanley Advisor
A recent investor complaint against Brea, California financial advisor Derek Johnson (CRD# 2922680) alleges that his advice 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.
Nicholas Buttler: $200K Complaint Against Spartan Advisor
Garden City, New York financial advisor Nicholas Buttler (CRD# 7080008) recently received an investor complaint alleging he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Robert Alegria: Bond Complaint Against Morgan Stanley Advisor
Miami financial advisor Robert Alegria (CRD# 5978340) 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 Morgan Stanley, having previously been registered with RBC Capital Markets.
Janet Gordon: $1.4mm Complaint Against Ex-Morgan Stanley Advisor
A recent investor complaint against Coral Gables, Florida financial advisor Janet Gordon (CRD# 1114409) alleges that her advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James.
David McQuade: High Bluff Advisor Faces Investor Complaint
San Diego, California financial advisor David McQuade (CRD# 3118389) allegedly failed to follow a customer’s instructions, 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 High Bluff Private Wealth.
