Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Todd Leightey: Northwestern Advisor Suspended over Annuities
Upper Sandusky, Ohio financial advisor Todd Leightey (CRD# 4409118) was recently fined and suspended in connection with allegedly improper annuity sales. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.
Tony Navarro: FINRA Suspends NFSG, Ex-IFG Advisor
San Diego, California financial advisor Tony Navarro (CRD# 2250454) 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 Independent Financial Group broker is currently registered as an investment advisor with NFSG Corporation.
Ryan Barnhill: $70K Complaint Against LPL Advisor
A recent investor complaint against San Diego, California financial advisor Ryan Barnhill (CRD# 6335285) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Barnhill Wealth Management.
Mark Huber: Concorde, Thornwood Advisor Faces $500K-$900K Complaint
Racine, Wisconsin financial advisor Mark Huber (CRD# 5976354) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services and an advisor with Concorde Asset Management, doing business as Thornwood Financial.
Vince Nelson: Why Did Arno Wealth Advisor Resign from Arete?
Overland Park, Kansas financial advisor Vince Nelson (CRD# 2275929) recently resigned from Arete Wealth Management in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with Cabin Securities and is also a representative of Arno Wealth.
Phillip Anderson: FINRA Suspends Ex-Kingswood Advisor
Former Roseville, California financial advisor Phillip Anderson (CRD# 814936) was recently suspended and fined in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Kingswood Capital Partners and an investment advisor with Resurgent Financial Advisors.
Judah Spinner: FINRA Suspends Ex-Primerica Advisor
Former Las Vegas, Nevada broker Judah Spinner (CRD# 7039921) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker and an investment advisor with Primerica Financial Services.
Patrick Kelly: $200K Complaint Against Shamrock Capital Advisor
Highlands Ranch, Colorado financial advisor Patrick Kelly (CRD# 1258726) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Sigma Financial Corporation broker is registered as an investment advisor with Sigma Planning Corporation, doing business as Shamrock… Read More »
Jordan Rider: $120K ETF Complaint Against LPL Advisor
Leawood, Kansas financial advisor Jordan Rider (CRD# 5292169) mismanaged a client’s accounts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with The Wealth Consulting Group.
Dan Davis: Stifel Advisor Faces $1mm Complaint
A recent investor complaint against Omaha, Nebraska financial advisor Dan Davis (CRD# 853374) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
