A recent, withdrawn investor complaint against Ogden, Utah financial advisor Steve Story (CRD# 2574091) alleges that he forged a customer’s...
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Matt Mitchell: BOK Financial Advisor Faces $300K Complaint
Tulsa, Oklahoma financial advisor Matt Mitchell (CRD# 4908737) allegedly failed to disclose the risks of an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with BOK Financial Securities.
Leigh Allen: LPL Advisor Allegedly Made Unauthorized Sale
Battle Ground, Washington financial advisor Leigh Allen (CRD# 5711971) recently received an investor complaint alleging that he made an unauthorized trade. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Excell Wealth Partners.
Kyle Lindner: $142K Complaint Against Ex-State Farm Advisor
A recent investor complaint alleges that former Katy, Texas financial advisor Kyle Lindner (CRD# 5421697) made a recommendation that resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he was previously registered as a broker with State Farm VP Management Corporation.
Sherwin Sargeant: FINRA Bars PlanMember Advisor After Crypto Probe
Former Orlando, Florida financial advisor Sherwin Sargeant (CRD# 5096798) has been barred by FINRA in connection with allegations of undisclosed outside business activities. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PlanMember Securities Corporation.
Jeremy Burch: Wells Fargo Advisor Resigns, Joins Merrill
Miami, Florida financial advisor Jeremy Burch (CRD# 4073551) recently resigned from Wells Fargo while under review for concerns involving his conduct. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Merrill Lynch.
Fridtjov Markussen: AMJ Financial Advisor Faces $150K Complaint
A recent investor complaint against Leesburg, Virginia financial advisor Fridtjov Markussen (CRD# 4323396) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Osaic Wealth and an investment advisor with AMJ Financial Wealth Management.
Conrad Corcoran: Centaurus Advisor Faces Suitability Complaints
Anaheim, California financial Conrad Corcoran (CRD# 1009857) allegedly recommended unsuitable and high-risk investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Centaurus Financial, doing business as Catalina Investments.
Beck Giyazov: Wells Fargo Advisor Allegedly Misled Investor
A recent investor complaint against Los Angeles financial advisor Beck Giyazov (CRD# 5511723) alleges 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.
Jack Bailey: FINRA Investigates Bailey & Co. Advisor
Brentwood, Tennessee financial advisor Jack Bailey (CRD# 5708044) was recently investigated in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Bailey & Company Securities.
Johnathan Sawaged: Quint Advisor Fired by B. Riley
Poughkeepsie, New York financial advisor Johnathan Sawaged (CRD# 7061837) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former B. Riley Wealth Management broker is currently registered as an investment advisor with Quint Investments and Insurance.
