Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Justine Cantafio: FINRA Suspends Fired NYLife Advisor
Former Avoca, Pennsylvania financial advisor Justine Cantafio (CRD# 6158299) has been suspended in connection with allegations of forgery and unauthorized conduct. Financial Industry Regulatory Authority records show that she was most recently registered with Hornor Townsend & Kent, having previously been registered with NYLife Securities in Scranton, Pennsylvania.
Barbara Leonard: $125K Complaint Against LPL Advisor
Galveston, Texas financial advisor Barbara Leonard (CRD# 4607044) has received multiple investor complaints alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with LPL Financial.
Bradley Lakner: $100K-$300K Complaint Against Lakner Wealth Advisor
A recent investor complaint against Springfield, Illinois financial advisor Bradley Lakner (CRD# 4167521) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Sunbelt Securities, doing business as Lakner Wealth Management.
Eric Marshall: $75K Bond Complaint Against Legacy Advisor
A recent investor complaint against East Peoria, Illinois financial advisor Eric Marshall (CRD# 4767380) alleges that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is a representative of Legacy Investment Services.
Douglas Ponczek: $200K Complaint Against UBS Advisor
A recent investor complaint against Aventura, Florida financial advisor Douglas Ponczek (CRD# 5843395) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services.
Brandon Morgan: GWG Complaint Against Bradshaw & Weil Advisor
A recent investor complaint against Paducah, Kentucky financial advisor Brandon Morgan (CRD# 2230081) alleges that he recommended unsuitable investments in GWG L bonds. Securities and Exchange Commission records show that he is currently an investment advisor with AE Wealth Management and the president of Bradshaw & Weil.
Jon Best: Raymond James Advisor Faces Investigation
Henderson, Texas financial advisor Jon Best (CRD# 2225091) allegedly made unauthorized trades, according to an investor complaint and a regulatory investigation. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Raymond James Financial Services, doing business as Best Financial Group.
Patrick Louise: $2 Million Complaint Against Fraser Wealth Advisor
Woodstock, Illinois financial advisor Patrick Louise (CRD# 5810428) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Fraser Wealth Management.
Greg Suzio: Merrill Lynch Advisor Faces 6-Figure Complaint
Auburn Hills, Michigan financial advisor Greg Suzio (CRD# 5309403) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of McGill Suzio Group, a… Read More »
Todd Rustman: $830K Complaint Against Clarity Capital Advisor
Newport Beach, California financial advisor Todd Rustman (CRD# 2453708) recently received an investor complaint alleging that his conduct resulted in damages exceeding $800,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services and an investment advisor with Clarity Capital Partners.
