Dallas, Texas financial advisor Lilly Han (CRD# 6781075) allegedly misrepresented private placements, according to a recent investor complaint. Financial Industry...
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Peter Wallace: Oppenheimer Advisor Faced Margin Complaint
A recent, denied investor complaint against North Palm Beach, Florida financial advisor Peter Wallace (CRD# 2232489) alleged that he used margin without authorization. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
William Clary: $218K Complaint Against DA Davidson Advisor
A recent investor complaint against Medford, Oregon financial advisor William Clary (CRD# 2300201) alleges that he failed to prevent the potential exploitation of a client. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with DA Davidson & Company.
David Loesch: $179K Complaint Against DRL Group Advisor
Katy, Texas financial advisor David Loesch (CRD# 2380024) allegedly failed to explain the use of margin, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NewEdge Securities and the owner of The DRL Group.
Todd Walker: Arapaho Advisor Lands $200K Bond Complaint
Centennial, Colorado financial advisor Todd Walker (CRD# 2503388) recently received an investor complaint alleging 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 Centaurus Financial, doing business as Arapaho Asset Management.
Ben Schick: Cobalt Advisor Faces $900K iCap
Lake Mary, Florida financial advisor Ben Schick (CRD# 4897243) recently received an investor complaint alleging that he misrepresented and recommended unsuitable investments in iCap. Financial Industry Regulatory Authority records show that he is registered as a broker with Cobalt Capital.
Michael Borgia: FINRA Investigates Pinnacle Advisor
Boca Raton, Florida financial advisor Michael Borgia (CRD# 4393648) has been investigated for alleged violations of securities industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Pinnacle Investments, having previously been registered with Dawson James Securities.
Kendal Cann: $50K Complaint Against Privileged Planning Advisor
Saint Johns, Florida financial advisor Kendal Cann (CRD# 6504618) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James Financial broker is currently registered as an investment advisor with Privileged Planning.
Paul Getty: Emerson, First Guardian Advisor Denies $435K Complaint
San Mateo, California financial advisor Paul Getty (CRD# 6470002) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and doing business as First Guardian Group.
Katie Wei: $300K Complaint Against Ameriprise Advisor
Redwood City, California financial advisor Katie Wei (CRD# 6242083) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.
Bob Chung: SEC Charges Arete Advisor in Fraud
Chicago financial advisor Bob Chung (CRD# 6208569) was recently charged by the Securities and Exchange Commission in connection with allegations that he aided an alleged fraudulent scheme by two representatives of his member firm. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arete Wealth.
