Lake Oswego, Oregon financial advisors Paul McIntyre (CRD# 1002368) and Al Dinicola (CRD# 1305518) allegedly recommended unsuitable transactions, according to...
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Chris Stocks: FINRA Investigates Prospera/Stocks Wealth Advisor
Paradise Valley, Arizona financial advisor Chris Stocks (CRD# 2600346) is under investigation in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Prospera Financial Services, and that he is the founder of Stocks Wealth Management. Mr. Stocks’ BrokerCheck report discloses… Read More »
Ryan Foster: $240K Complaint Against Ex-InterCarolina Advisor
Pleasant Garden, North Carolina financial advisor Ryan Foster (CRD# 5414840) has received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former InterCarolina Financial Services broker is currently registered as an investment advisor with Crossroads Financial Services.
Mark Creason: $1mm-$2mm Complaint Against Creason 1031 Advisor
A recent investor complaint against Lake Las Vegas financial advisor Mark Creason (CRD# 6617847) alleges that his real estate investment recommendations resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Metric Financial, doing business as Creason 1031.
Eric Stiba: Lion Street Advisor Under SEC Investigation
Waco, Texas financial advisor Eric Stiba (CRD# 5635690) is under investigation by the Securities and Exchange Commission in connection with the sales of an alternative investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Lion Street Financial and Lion Street Advisors, respectively. He is… Read More »
Michael Grady: Sequence Financial Advisor Receives Easement Complaint
Florence, South Carolina financial advisor Michael Grady (CRD# 4585561) recently received an investor complaint relating to conservation easements. Financial Industry Regulatory Authority records show that he is a broker registered with Sequence Financial Specialists.
James Landeros: Merrill Lynch Advisor Faces Options Complaint
A recent investor complaint against Santa Barbara, California financial advisor James Landeros (CRD# 6447130) alleges that he misrepresented options investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with UnionBanc Investment Services.
Craig Thistlewaite: FINRA Suspends Ex-Morgan Stanley Advisor
Maumee, Ohio financial advisor Craig Thistlewaite (CRD# 2507050) was recently suspended and fined in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is registered as an investment advisor with CT Financial Partners. A Letter of Acceptance, Waiver, and Consent (No…. Read More »
Scott Taubman: Ex-Ameriprise Advisor Suspended over Loans
Former Peoria, Arizona financial advisor Scott Taubman (CRD# 4809824) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services has also received a pending investor complaint and is not currently registered with any broker-dealer firm.
Tracy Longstreet: $1mm-$5mm Complaint Against Ex-UBS Advisor
Former Houston, Texas financial advisor Tracy Longstreet (CRD# 1768525) recently received an investor complaint alleging that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that the former UBS Financial Services representative is not presently registered as a broker or an investment advisor.
Mark Kuttler: Financial Alternatives Advisor Faces REIT Complaint
East Meadow, New York financial advisor Mark Kuttler (CRD# 1425746) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with RNR Securities, doing business as Financial Alternatives.
