Former Horsham, Pennsylvania financial advisor Gerald Page (CRD# 7577838) was recently sanctioned and barred in connection with alleged rule violations....
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Jason Connolly: DFPG Investments Advisor Receives $300K Complaint
San Jose, California financial advisor Jason Connolly (CRD# 4708924) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments and an investment advisor with Diversify Advisory Services.
Andrew Marinos: Schwab Advisor Lands $2mm Complaint
Mission Viejo, California financial advisor Andrew Marinos (CRD# 4317707) recently received an investor complaint alleging 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.
Curtis Kroll: Wells Fargo Advisor Faced $10mm Complaint
A recent investor complaint against Jacksonville, Florida financial advisor Curtis Kroll (CRD# 6487481) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
William Pugh: FINRA Sanctions Ex-Columbia Capital Advisor
Former Los Angeles, California financial advisor William Pugh (CRD# 4855771) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Columbia Capital Securities.
Curtis Kroll: Wells Fargo Clearing Services Advisor Faced $10mm Complaint
A recent investor complaint against Jacksonville, Florida financial advisor Curtis Kroll (CRD# 6487481) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Josiah Jennings: FINRA Suspends Ex-Columbia Capital Advisor
Yorba Linda, California financial advisor Josiah Jennings (CRD# 6031164) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Columbia Capital Securities broker is currently registered as an investment advisor with Vela Consulting.
Carson Wegman: LLM Advisor Faces $1mm Suitability Complaint
Boulder, Colorado financial advisor Carson Wegman (CRD# 226941) recently received an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LLM Financial Services, doing business as C. Wegman Advisory.
Greenbacker Renewable Energy: Investors May Have Recovery Options
Investors who suffered losses on investments in Greenbacker Renewable Energy Company may have recovery options. The product, a non-traded renewable energy investment, may have been unsuitable for certain retail customers. If you believe that your financial advisor misrepresented investments in Greenbacker Renewable Energy or recommended them without properly considering your risk tolerance or liquidity… Read More »
Steven Mitchell: ELE Advisory Services Advisor Lands $500K Complaint
Phoenix, Arizona financial advisor Steven Mitchell (CRD# 4667673) 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 with ELE Wealth Solutions and an investment advisor with ELE Advisory Services.
Nathan Downs: Cambridge Advisor Faced $50K Complaint
A recent, denied investor complaint against Boise, Idaho financial advisor Nathan Downs (CRD# 5833891) alleged that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research. He is also registered as an investment advisor with Duncan Financial… Read More »
