Milwaukee, Wisconsin financial advisor Kirk Thode (CRD# 5138682) resigned from his former member firm in connection with alleged misconduct. Financial...
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Ricardo Dacosta: Suitability Complaint Against Align Wealth Advisor
Iselin, New Jersey financial advisor Ricardo Dacosta (CRD# 5648774) 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 LPL Financial, doing business as Align Wealth Group.
Kevin Sierzant: Caprock Group Advisor Fired by Merrill Lynch
Newport Beach, California financial advisor Kevin Sierzant (CRD# 7223312) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Merrill Lynch broker is currently registered as an investment advisor with The Caprock Group.
William Lefkowitz: $1mm Complaint Against B. Riley Advisor
A recent investor complaint against New York City financial advisor William Lefkowitz (CRD# 1170503) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital and B. Riley Wealth Management, and as an investment advisor with B. Riley.
Ed Turley: Ex-JP Morgan Advisor Has Faced 7-Figure Complaints
Former San Francisco financial advisor Ed Turley (CRD# 1872294) has received multiple investor complaints alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that the former JP Morgan Securities broker has been barred from acting as a broker or otherwise associating with a broker-dealer firm.
Danny Baumgold: $591K Complaint Against Ex-LPL, JBA Advisor
A recent investor complaint against Fort Collins, Colorado financial advisor Danny Baumgold (CRD# 7572205) alleges 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 Cambridge Investment Research, doing business as JBA Wealth Management Group.
Jim Olsen: Why Was Legacy Advisor Fired by LPL?
Metairie, Louisiana financial advisor Jim Olsen (CRD# 857594) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker and an investment advisor with Arkadios, doing business as Legacy Investment Strategies.
Gayle Hawkins: LPL Denies Complaint Against Advisor
A recent, denied investor complaint against Paramus, New Jersey financial advisor Gayle Hawkins (CRD# 6150475) alleged that she omitted material information. Financial Industry Regulatory Authority records show that she is registered as a broker with LPL Enterprise, having previously been registered with Pruco Securities.
Adam Rosenthal: UBS Advisor Lands Investor Complaint
New York City financial advisor Adam Rosenthal (CRD# 2277291) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Bradley Pottorf: Why Was Oppenheimer Advisor Fired by Wells Fargo?
Vienna, Virginia financial advisor Bradley Pottorf (CRD# 6900247) was terminated from his former member firm in connection with alleged misconduct. Financial Industry Regulatory Authority records show that the former Wells Fargo representative is currently registered as a broker and an investment advisor with Oppenheimer & Company.
Cooper Carden: Investor Complaint Against Kovack Advisor
Vestavia, Alabama financial advisor Cooper Carden (CRD# 6902893) has received multiple investor complaints alleging that his advice resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual Investment Services broker is currently registered as an investment advisor with Kovack Advisors.
