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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Michael Taylor: Why Did Seren Advisor Resign from Ameriprise?
Fort Lauderdale, Florida financial advisor Michael Taylor (CRD# 4900554) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Ameriprise Financial Services broker is currently registered as an investment advisor with Seren Wealth Advisors.
Randy Wilson: Edward Jones Advisor Faces Regulatory Complaint
Murfreesboro, Tennessee financial advisor Randy Wilson (CRD# 6180467) has been named in a pending regulatory enforcement action alleging that he acted negligently. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Manuel Lozano: Stifel Advisor Lands New Investor Complaint
Pasadena, California financial advisor Manuel Lozano (CRD# 1004483) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus.
Mark Raghunandan: Investor Complaint Against Merrill Lynch Advisor
A recent investor complaint against Oceanside, New York financial advisor Mark Raghunandan (CRD# 7084686) alleges that he violated industry standards. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Steve Hooks: $1.5mm Complaint Against JP Morgan Advisor
New Orleans, Louisiana financial advisor Steve Hooks (CRD# 5020190) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
Randy Petrilli: Reg BI Complaint Against Goodwin Petrilli Advisor
A recent investor complaint against Fort Collins, Colorado financial advisor Randy Petrilli (CRD# 4849882) alleges that he violated industry standards. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Goodwin Petrilli Financial.
Ron Gelok: AAG Capital Advisor Faces $2mm Complaint
Naples, Florida financial advisor Ron Gelok (CRD# 1403352) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with AAG Capital and an investment advisor with Ronald Gelok & Associates.
Zachary Green: $200K Complaint Against Merit Financial Advisor
Raleigh, North Carolina financial advisor Zachary Green (CRD# 5714566) allegedly failed to properly explain an investment strategy, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Merit Financial Advisors.
Phillip Allen: Madison Avenue Securities Advisor Faces $393K Complaint
A recent investor complaint against Greenville, South Carolina financial advisor Phillip Allen (CRD# 1337542) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Madison Avenue Securities.
Deborah Key: Wells Fargo Advisor Receives $1.5mm Complaint
Las Vegas, Nevada financial advisor Deborah Key (CRD# 1236421) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo.
