Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Andrew Mack: FINRA Suspends Former AGP Advisor
Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Raymond James Financial Services, before which he was registered with Alliance Global Partners. He did business as Tempus… Read More »
Jeff Meyers: $100K Complaint Against Meyers Wealth Advisor
A recent investor complaint against Overland Park, Kansas financial advisor Jeff Meyers (CRD# 2192759) 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 Osaic Wealth, doing business as Meyers Wealth Management.
Steve Mattocks: Osaic Advisor Lands $118K REIT Complaint
Wichita, Kansas financial advisor Steve Mattocks (CRD# 2193216) allegedly sold unsuitable real estate investment trust products, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth. He is also the owner of Wheatland Insurance Group.
Edwin Lickiss: DOJ Alleges Ponzi Scheme by Suspended Bay Area Advisor
Alamo, California financial advisor Edwin Lickiss (CRD# 844969) was recently charged by the US Department of Justice with wire fraud and money laundering in connection with an alleged Ponzi scheme. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Investment Architects, and he was formerly the owner… Read More »
Dan Pikula: $1.5mm Complaint Against Money Manager Advisor
Wellington, Florida financial advisor Dan Pikula (CRD# 2563165) 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 Emerson Equity and an investment advisor with Money Manager.
Steve Menke: Strategic Wealth Advisor Faces Oil & Gas Complaint
A recent investor complaint against Lawrence, Kansas financial advisor Steve Menke (CRD# 4548579) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research and that he is a representative of Strategic Wealth.
Barbara Wooden: $100K Complaint Against Primerica Advisor
Lake Worth, Florida financial advisor Barbara Wooden (CRD# 4921913) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with PFS Investments and an investment advisor with Primerica Advisors.
Matthew Klein: $110K Complaint Against MATAURO Advisor
Summit, New Jersey financial advisor Matthew Klein (CRD# 5060520) allegedly misrepresented an investment, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The Leaders Group and an investment advisor with MATAURO.
Ryan Messenger: $20K Complaint Against Edward Jones Advisor
A recent investor complaint against Meadville, Pennsylvania financial advisor Ryan Messenger (CRD# 5091888) alleges that he made an illegal transfer. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Tony Tolene: Infinity Advisor Receives $100K Complaint
Harrisburg, Pennsylvania financial advisor Tony Tolene (CRD# 5730068) 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 he is registered as an investment advisor, and was formerly a broker, with Infinity Financial Services.
