Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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Kevin Wright: $1mm Complaint Against Rockefeller Advisor
Houston, Texas financial advisor Kevin Wright (CRD# 6344931) has received multiple investor complaints alleging that his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Rockefeller Financial and Rockefeller Capital, respectively.
Trevor Uhls: FINRA Bars Former MML Advisor
Former MML Investors Services representative Trevor Uhls (CRD# 6872250) has been sanctioned and barred by the Financial Industry Regulatory Authority in connection with alleged rule violations. FINRA records show that he is a former associated person no longer registered with a FINRA member firm.
Jordan Grangard: RBC, Ex-UBS Advisor Faces Improper Trading Complaint
Las Vegas financial advisor Jordan Grangard (CRD# 6097246) allegedly failed to follow client instructions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets, whose website shows that he is Managing Director of the Grangard Private Wealth… Read More »
Bob Reese: $500K Complaint Against Ex-Secure Capital Advisor
Charlotte, North Carolina financial advisor Bob Reese (CRD# 5880465) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and the founder of Aditum Group.
Ben Carmona: $200K Complaint Against Perch Wealth Advisor
San Juan, Capistrano financial advisor Ben Carmona (CRD# 5120428) allegedly violated industry rules, according to a recent six-figure investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, doing business as Perch Wealth.
Michael Morando: $125K Complaint Against Centaurus Advisor
A recent investor complaint against Santa Barbara, California financial advisor Michael Morando (CRD# 6098724) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Tremblay Financial.
Jonas Everett: Suitability Complaint Against Ex-Cambridge Advisor
Cedar Rapids, Iowa financial advisor Jonas Everett (CRD# 2396343) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Premier Investments.
Travis Tom: Why Was Endeavor Advisor Fired by Wells Fargo?
Littleton, Colorado financial advisor Travis Tom (CRD# 4762216) was recently discharged 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 Wells Fargo broker is currently registered as an investment advisor with Endeavor Private Wealth.
Forge Securities: Sestante Capital Investors May Have Recovery Options
A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role in directing investors to a “federally indicted pre-IPO fraud orchestrated by Sestante Capital LLC.” Brokers who recommended investments in the alleged scheme, which involved “fabricated access to pre-IPO shares in Anduril Industries,” may be… Read More »
Patricia Kazumba: KAZ Advisor Faced Suitability Complaint
A recent, closed investor complaint against Bethesda, Maryland financial advisor Patricia Kazumba (CRD# 4474915) alleged that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as KAZ Advisors Group.
