Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Zhi “Jeffrey” Guan: $1mm-$5mm Complaint Against Emerson Advisor
A recent investor complaint against San Mateo, California financial advisor Zhi Guan (CRD# 7000349), also known as Jeffrey Guan, alleges that he engaged in deceptive trade practices. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Cereus Investments.
Rodger Thomas: $500K Complaint Against Ex-SCF Securities Advisor
Boca Raton, Florida financial advisor Rodger Thomas (CRD# 4010563) 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 Newbridge, doing business as Shield Capital Advisory.
Joe Doggett: JCD Investments Advisor Faces Elder Abuse Complaint
Columbus, Indiana financial advisor Joe Doggett (CRD# 1033987) has received multiple investor complaints 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 Money Concepts Capital Corporation and Money Concepts Advisory Service, respectively, doing business as JCD Investments.
Gary Madrid: GWG Complaint Against WestPark Advisor
Irvine, California financial advisor Gary Madrid (CRD# 1934700) recently received an investor complaint relating to a GWG L Bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with WestPark Capital, having previously been registered with Newport Coast Securities.
Ford Keeler: $210K Complaint Against Western Financial Advisor
Grand Junction, Colorado financial advisor Ford Keeler (CRD# 1696709) 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 LPL Financial, doing business as Western Financial Advisors.
Eddie Williams: $50K Complaint Against LifeMark Advisor
A recent investor complaint against Southfield, Michigan financial advisor Eddie Williams (CRD# 2239318) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with LifeMark Securities Corporation.
Bill Tunink: $130K Complaint Against Tunink Murray Advisor
UPDATE: Carlson Law is representing clients of Bill Tunink that loan money to him. We have also learned that Bill Tunink is no longer with LPL Financial. Furthermore, Tunink Murry Financial Group’s website now has the following disclosure on its main page: “WILLIAM TUNINK IS NO LONGER AFFILIATED WITH TUNINK MURRAY FINANICAL GROUP,” “WILLIAM… Read More »
John Stapleton: $200K Complaint Against Spartan Capital Advisor
Garden City, New York financial advisor John Stapleton (CRD# 2791194) allegedly made unauthorized and unsuitable trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Mike Morrison: $100K Complaint Against Morrison Financial Advisor
A recent investor complaint against Highland Village, Texas financial advisor Mike Morrison (CRD# 1730240) alleges that he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Morrison Financial.
Joe Barreca: $300K Complaint Against Wells Fargo Advisor
Metairie, Louisiana financial advisor Joe Barreca (CRD# 3276048) allegedly recommended unsuitable market-linked notes, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo, having previously been registered with First Horizon Advisors.
