A recent investor complaint against El Segundo, California financial advisor Victor Rodriguez (CRD# 2900010) alleged that his investment advice resulted...
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Joanna Wang: $495K REIT Complaint Against LPL Advisor
LPL Financial advisor Joanna Wang (CRD# 4056171) recently received an investor complaint alleging various forms of misconduct in connection with the sales of non-traded real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that she was previously registered with Prudential Investments, which recently integrated with LPL, in Lake Barrington, Illinois.
Brian Gardiner: $210K Complaint Against Ex-Cabot Lodge Advisor
A recent investor complaint against Westminster, Maryland financial advisor Brian Gardiner (CRD# 3268932) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Jennifer Kim: $245K Complaint Against SEIA Advisor
Los Angeles, California financial advisor Jennifer Kim (CRD# 2322771) recently received an investor complaint that settled for a six-figure sum. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Signature Estate Securities and Signature Estate & Investment Advisors (SEIA), respectively.
Joe Lauzon: $538K Complaint Against LPL Advisor
Clovis, California financial advisor Joe Lauzon (CRD# 2773510) recently received an investor complaint alleging that his conduct resulted in damages exceeding $500,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial.
Scott Grove: MassMutual Advisor Faces Investor Complaint
Newport Beach, California financial advisor Scott Grove (CRD# 2813738) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Matt Nelson: Complaint Against Ex-Cambridge Advisor Settled for $330K
Boeme, Texas financial advisor Matt Nelson (CRD# 4050793) allegedly misrepresented an alternative investment, according to an investor dispute that reached a six-figure settlement. Securities and Exchange Commission records show that he is registered as an investment advisor with Prime Capital Financial.
Richard Kubiak: $6mm Complaint Against Ameriprise Advisor
Cheektowaga, New York financial advisor Richard Kubiak (CRD# 2856073) 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 Ameriprise Financial Services.
Ted Boutis: Ameriprise Advisor Received $1mm Complaint
Melville, New York financial advisor Ted Boutis (CRD# 2951760) misrepresented variable annuity investments, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Carlson Law Investigating Tom Liu of Morgan Stanley
UPDATE: Carlson Law has filed an arbitration against Morgan Stanley relating to Tom Liu. Carlson Law is investigating Irvine, California, Morgan Stanley broker Tom Liu (CRD# 6834194). We have been retained by a client of Liu who suffered substantial losses after Liu engaged in high-risk options trading, including selling naked put options on Tesla, Alphabet… Read More »
Luigi Mazza: Oppenheimer Advisor Landed $139K Complaint
A recent, denied investor complaint against Coral Gables, Florida financial advisor Luigi Mazza (CRD# 3025837) alleged 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 Oppenheimer & Company.
