Elma, New York financial advisor Craigg McRae (CRD# 4697209) was recently sanctioned and suspended in connection with alleged rule violations....
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Enrique Pascual: $635K Complaint Against Stonecrest Advisor
A recent investor complaint against San Juan, Puerto Rico financial advisor Enrique Pascual (CRD# 2184412) alleges that he recommended an unsuitable investment in a promissory note. Financial Industry Regulatory Authority records show that he is registered as a broker with Stonecrest Capital Markets.
Jerry Hanifan: Estate Planning Center Advisor Faces $50K Complaint
West Jefferson, North Carolina financial advisor Jerry Hanifan (CRD# 2286666) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with USA Financial Securities, and that he is the president of Estate Planning Center.
TK Daniel Chen: $500K GWG Complaint Against TKC Wealth Advisor
Dallas, Texas financial advisor TK Daniel Chen (CRD# 2394916) recently received an investor complaint alleging that he recommended an unsuitable GWG L bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.
Tony Mampieri: $7.7mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Dublin, Ohio financial advisor Tony Mampieri (CRD# 1653703) alleges that his conduct resulted in more than $7 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors.
Robert Moon: $4mm Complaint Against Moon Wealth Advisor
Bethesda, Maryland financial advisor Robert Moon (CRD# 2431875) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Merrill Lynch.
Christopher Christensen: FINRA Complaint Against ex-iCap CEO
Former Issaquah, Washington financial advisor Christopher Christensen (CRD# 7680869) is the subject of a FINRA complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was previously registered as a broker and an investment advisor with Airlink Markets.
Kevin Albritton: $575K Complaint Against Albritton Financial Advisor
Former St. Louis, Missouri financial advisor Kevin Albritton (CRD# 727420) recently received an investor complaint that reached a settlement of more than $500,000. Financial Industry Regulatory Authority records show that he was previously a broker registered with Cambridge Investment Research and an investment advisor registered with Carson Wealth, doing business as Albritton Financial Services.
Bill Westcott: LPL Advisor Landed $190K ETF Complaint
A recent investor complaint against Tucson, Arizona financial advisor Bill Westcott (CRD# 1007101) alleged unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Bill Westcott Inc.
Michael Kelley: $2mm Complaint Against LPL/Charter Advisor
Indianapolis financial advisor Michael Kelley (CRD# 1021878) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Charter Advisory Corporation.
Will Brown & Stefan Gertsch: UBS Fires Advisors
Memphis, Tennessee financial advisors Will Brown (CRD# 6522004) and Stefan Gertsch (CRD# 5284354) were recently terminated by UBS Financial Advisors in connection with alleged rule violations. Financial Industry Regulatory Authority records show that each is registered as a broker with Kestra Investment Services and Kestra Private Wealth Services.
