Elma, New York financial advisor Craigg McRae (CRD# 4697209) was recently sanctioned and suspended in connection with alleged rule violations....
Read MoreAuthor Archives: chase@carlson-law.com
Joseph Gibbons: Annuity Complaint Against Merrill Lynch Advisor
Wayzata, Minnesota financial advisor Joseph Gibbons (CRD# 1060467) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
John Nelson: Why Did Wells Fargo Fire IFG Advisor?
Corpus Christi, Texas financial advisor John Nelson (CRD# 1084135) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Wells Fargo Clearing Services representative is now registered as a broker with Independent Financial Group.
Barry Bellina: Magnolia Advisor Lands Investor Complaint
A recent investor complaint against Metairie, Louisiana financial advisor Barry Bellina (CRD# 1122429) concerned an insurance investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, whose website describes him as a representative of Magnolia Wealth Strategies.
Adam Steen: UBS Fires Bright River Private Wealth Advisor
Memphis, Tennessee financial advisor Adam Steen (CRD# 2231499) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former UBS broker is now registered with Kestra Investment Services, operating as a representative of Bright River Private Wealth.
Ian Biggs: Merrill Lynch Advisor Faces New Complaint
San Diego, California financial advisor Ian Biggs (CRD# 7002430) allegedly misrepresented 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 Merrill Lynch, having previously been registered with JP Morgan Securities.
Justin Roberto: Tesfaye Advisor Fired by MassMutual
Alexandria, Virginia financial advisor Justin Roberto (CRD# 7235058) was recently fired from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former MML Financial Services broker is currently registered as an investment advisor with Tesfaye O’Neill Financial.
Rajesh Jyotishi: Shalin Financial Advisor Faces Suitability Complaint
Norcross, Georgia financial advisor Rajesh Jyotishi (CRD# 2204676) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Dempsey Lord Smith, doing business as Shalin Financial Services.
Jason Weese: Merrill Advisor Lands Investor Complaint
Bellevue, Washington financial advisor Jason Weese (CRD# 2288375) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Morgan Stanley.
Dennis Carter: Fraud Complaint Against NYLife Advisor
Las Vegas, Nevada financial advisor Dennis Carter (CRD# 6216944) allegedly facilitated a fraudulent scheme, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities.
Joel Goldberg: Dempsey Advisor Receives Suitability Complaint
Dalton, Georgia financial advisor Joel Goldberg (CRD# 6590746) recently received an investor complaint alleging that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker with Dempsey Lord Smith.
