Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
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Joe Mauceli: GLM Financial Advisor Faces $300K Complaint
A recent investor complaint against Hackensack financial advisor Joe Mauceli (CRD# 2818956) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Advisors, as well as the owner of GLM Financial.
Larry Waller: HLM Financial Advisor Faces $135K Complaint
Atlanta financial advisor Larry Waller (CRD# 3232644) recently received an investor complaint alleging his conduct resulted in damages of more than $100,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with SA Stone, as well as the president of HLM Financial Services.
Kerri Jamison: Suitability Complaint Against Newbridge Advisor
Mesa, Arizona financial advisor Kerri Jamison (CRD# 4348584) recently received an investor complaint alleging that she misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group.
Matthew Steinberg: $2.5 Million Complaint Against Oppenheimer Advisor
Fort Washington, Pennsylvania financial advisor Matthew Steinberg (CRD# 2430032) recently received an investor complaint alleging he violated FINRA rules in connection with municipal bond and private equity investments. Financial Industry Regulatory Authority records show that he is a broker and an investor with Oppenheimer & Company.
Lien Nguyen: $MML Advisor Lands $407K Complaint
Los Angeles financial advisor Lien Nguyen (CRD# 2662699) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker registered with MML Investors Services, having previously been registered with MSI Financial Services.
Kevin Regan: $305K Complaint Against Northwestern Mutual Advisor
A recent investor complaint against Fort Lauderdale financial advisor Kevin Regan (CRD# 4726798) alleges that he failed to follow instructions and made unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Northwestern Mutual Investment Services.
Steve Haskell: $250K Complaint Against Ex-WealthForge Advisor
Indianapolis financial advisor Steve Haskell (CRD# 6864948) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with FNEX Capital and Vice President at Kay Properties and Investments, whose website states that he operates at the firm’s office in San Diego,… Read More »
Brad May: $395K Complaint Against Southern Ethos Wealth Advisor
Sandersville, Georgia financial advisor Brad May (CRD# 5162373) recently received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that the former Commonwealth Financial Network representative is a broker and an investment advisor with LPL Financial, doing business as Southern Ethos Wealth.
Brian Dumont: $500K Complaint Against Ex-Cambridge Advisor
Former New York City broker Brian Dumont (CRD# 4737802) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cambridge Investment Research representative is currently registered as an investment advisor with Dumont Wealth in Miami, Florida.
John Aguilera: Advanced Financial Advisor Receives $240K Complaint
Vista, California financial advisor John Aguilera (CRD# 2066720) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that the Osaic Wealth broker and investment advisor was previously registered with SagePoint Financial and is the owner of Advanced Financial Solutions.
