Nashville, Tennessee financial advisor Dorris Jones (CRD# 735200) recently received an investor complaint alleging that her advice resulted in six-figure...
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David Russell: Suitability Complaint Against Merrill Lynch Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor David Russell (CRD# 6074721) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Scott Freeze: Aventura Advisor Under SEC Investigation
Huntingdon Valley, Pennsylvania financial advisor Scott Freeze (CRD# 2518935) is the subject of a pending investigation by the Securities and Exchange Commission, which alleges that he may have violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Aventura Securities, having previously been registered with International Assets… Read More »
Wes Young: Eagle Strategies Advisor Faces $40K Complaint
Austin, Texas financial advisor Wes Young (CRD# 4632589) recently received an investor complaint alleging that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Silas Parker & Associates and Savagen Securities.
Steve Schwartz: Financial Life Advisor Faces $1.4mm Complaint
A recent investor complaint against Mercer Island, Washington financial advisor Steve Schwartz (CRD# 4177383) 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 Centaurus Financial, doing business as Financial Life Advisor.
Paul Sweeney: $150K Complaint Against Kingsview Advisor
A recent investor complaint against Wintersville, Ohio financial advisor Paul Sweeney (CRD# 6289017) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Edward Jones broker is currently registered as an investment advisor with Kingsview Wealth Management.
Maria Calcena: Osaic Advisor Receives $500K Complaint
A recent investor complaint against Palm Beach, Florida financial advisor Maria Calcena (CRD# 6348974) alleges that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with Osaic Institutions.
Ken Marable: Pruco Denied Complaint Against LPL Advisor
A recent, denied investor complaint against Brooklyn, New York financial advisor Ken Marable (CRD# 2311940) alleged that his investment advice led to damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Enterprise, doing business as Marable Wealth Holdings.
Julius Agbonbhase: Morgan Stanley Advisor Lands Suitability Complaint
San Jose, California financial advisor Julius Agbonbhase (CRD# 5591820) allegedly recommended an unsuitable investment strategy, 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.
Drew Reynolds: $280K Complaint Against Realized Financial Advisor
Austin, Texas financial advisor Drew Reynolds (CRD# 6646813) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realized Financial, having previously been registered with WealthForge Securities.
David Burns: Cetera Advisor Faces Suitability Complaint
A recent investor complaint against Farmington, Utah financial advisor David Burns (CRD# 4785623) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera, doing business as Burns & Associates.
