Former Roseville, California financial advisor Phillip Anderson (CRD# 814936) was recently suspended and fined in connection with alleged rule violations....
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Centaurus Advisor Jeff Scott Receives Investor Complaint
A recent investor complaint against Brigham City, Utah financial advisor Jeff Scott (CRD# 2277984) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, having previously been registered with Cetera Advisors.
Manuel Ramos: $100K Complaint Against Centaurus Advisor
Downey, California financial advisor Manuel Ramos (CRD# 1956224) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Ramos Consulting and Wealth Management.
Edward Barfield: $292K Allegations Against Veritas Advisor
Kirkwood, Missouri financial advisor Edward Barfield (CRD# 4257082) allegedly recommended an unsuitable insurance product, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Geneos Wealth Management, doing business as Veritas Advisors.
Brandon Hanna: Creative Planning Advisor Faces $10mm Complaint
Overland Park, Kansas financial advisor Brandon Hanna (CRD# 6758707) recently received an investor complaint alleging his conduct resulted in eight-figure damages. Records maintained by the Securities and Exchange Commission indicate that he is an investment advisor registered with Creative Planning.
John Chaney: Bond Complaint Against Moloney Securities Advisor
A recent investor complaint against Phoenix financial advisor John Chaney (CRD# 44529) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker with Moloney Securities, doing business as Chaney & Associates.
Scott Norvell: FINRA Advises Sanction Against TR Financial Advisor
Omaha financial advisor Scott Norvell (CRD# 2196706) was recently the subject of an investigation that concluded with a recommendation of disciplinary action against him. Financial Industry Regulatory Authority records show that he is currently a broker with Brokers International Financial Services and an investment advisor with Brokers Financial, doing business as TR Financial.
Edward Rosenblatt: $200K Complaint Against Cetera Advisor
Mission Viejo, California financial advisor Edward Rosenblatt (CRD# 2658712) breached his fiduciary duty, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Cetera Advisor Networks.
Apryl Waldman: $40K Bond Complaint Against Monecito Advisor
A recent investor complaint against Bellingham, Washington financial advisor Apryl Waldman (CRD# 4653460) alleges improper recommendations of risky investments. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as Montecito Financial Services.
Lisa Mantei: Cola Wealth Advisor Receives $200K Complaint
Lexington, South Carolina financial advisor Lisa Mantei (CRD# 2230735) recently received an investor complaint alleging her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as Cola Wealth Advisors.
John Drabek: Griffin Realty Complaint Against Calton Advisor
Mesa, Arizona financial advisor John Drabek (CRD# 1335813) recently received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Calton & Associates, and that he is also registered with the firm’s offices in Tampa, Florida and East Lyme,… Read More »
