Scottsdale, Arizona financial advisor John Larsen (CRD# 2700922) recently received an investor complaint alleging that his trading resulted in seven-figure...
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True Capital Management Settles with SEC
True Capital Management, a registered investment advisory firm that specialized in managing money for professional athletes, settled with the Securities and Exchange Commission relating to allegations that it received commissions for selling clients real estate investments. True Capital Management agreed to a $150,000 penalty, disgorgement of $594,897, and prejudgment interest of $76,896. Registered investment… Read More »
Joseph Smith Jr.: Newbridge Advisor Lands $100K-$500K Complaint
Boca Raton, Florida financial advisor Joseph Smith Jr. (CRD# 428137) recently received an investor complaint alleging damages as high as $500,000. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation, having previously been registered with RM Stark & Company and The Strategic Financial Alliance.
Steve Liddell: UBS Advisor Receives $100K-$500K Options Complaint
Plano, Texas financial advisor Steve Liddell (CRD# 1509609) recently received an investor complaint alleging that an options overlay strategy was unsuitable. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website describes him as a member of the Liddell Wealth Management Group.
Norman Harp: BB Graham Advisor Faces $100K Complaint
A recent investor complaint against Leawood, Kansas financial advisor Norman Harp (CRD# 2480563) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with BB Graham & Company and an investment advisor with Retirement Resources, having previously been registered with Moloney Securities.
J.R. Thacker: $340K Complaint Against Thacker & Associates Advisor
Bristol, Virginia financial advisor J.R. Thacker (CRD# 2754773) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Center Street Securities, doing business as Thacker and Associates. He is an investment advisor with Arete Wealth Management.
Matias Cavalieri: $2.9mm complaint Against Morgan Stanley Advisor
Miami financial advisor Matias Cavalieri (CRD# 2972465) has received an investor complaint alleging his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, and that he received another investor complaint in 2020.
Morgan Stanley Advisor Juan Elwaw Faces $2.8mm Complaint
A recent investor complaint against Miami financial advisor Juan Elwaw (CRD# 2299668) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Sanctuary Advisor Bill Schellenberg: Private Placement Complaint
Aliso Viejo, California financial advisor Bill Schellenberg (CRD# 2376086) allegedly provided unsuitable investment advice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sanctuary Securities.
Craig Emerson: $215K Complaint Against Fourest Advisor
A recent investor complaint against Greenwood Village financial advisor Craig Emerson (CRD# 2761245) alleges that his conduct resulted in six0figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisor Networks, as well as a representative of Fourest LLC.
John Marmion: Ohio Sanctions UBS Financial Advisor
Columbus, Ohio financial advisor John Marmion Jr. (CRD# 1139175) allegedly violated Ohio law, according to a sanction by the state’s securities authorities. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s office in Phoenix, Arizona.
