Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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David Gaffney: Wintrust Advisor Faces REIT Complaint
Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, 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 Wintrust Investments.
Mike Roberts: $2mm Complaint Against Oak Wealth Advisor
A recent investor complaint against Gilbert, Arizona financial advisor Mike Roberts (CRD# 4700058) alleges 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 The Strategic Financial Alliance, doing business as Oak Wealth Management.
Jade Eagles: WealthGarden Advisor Lands $1 Million Complaint
El Segundo, California financial advisor Jade Eagles (CRD# 5939276) allegedly committed fraud and deceit, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former TIAA-CREF broker is registered as an investment advisor with the WealthGarden.
Aaron Liu: Investor Complaint Against Morgan Stanley Advisor
Pasadena, California financial advisor Aaron Liu (CRD# 6085987) 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 Morgan Stanley.
Kevin McBarron: Annuity Complaint Against Ex-Union Capital Advisor
A recent investor complaint against Carlsbad, California financial advisor Kevin McBarron (CRD# 1282026) alleges that he was professionally negligent. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as WealthPlanners.
Byron Strong: Ex-Woodbury Advisor Lands $835K Complaint
Florissant, Missouri financial advisor Byron Strong (CRD# 4651640) recently received an investor complaint alleging that his conduct resulted in damages exceeding $800,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Cambridge Investment Research, having previously been registered with Woodbury Financial Services.
Paul Addo: $316K Complaint Against UBS, Ex-Merrill Advisor
A recent investor complaint against Denver, Colorado financial advisor Paul Addo (CRD# 5422664) alleges that he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Timothy Yee: Green Retirement Advisor Faces $126K Complaint
Alameda, California financial advisor Timothy Yee (CRD# 2492578) allegedly recommended an unsuitable 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 Independent Financial Group, doing business as Green Retirement.
John Peirano: $2 Million Complaint Against Morgan Stanley Advisor
Garden City, New York financial advisor John Peirano (CRD# 2900045) 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 Morgan Stanley.
Chris Dibari: PNC Advisor Receives $384K Annuity Complaint
Milford, Ohio financial advisor Chris Dibari (CRD# 3012315) 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 PNC Investments.
