Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Carlos Guzman: Did Merrill Lynch Advisor Misappropriate Funds?
A recent investor complaint against Tucson, Arizona financial advisor Carlos Guzman (CRD# 6323925) alleges that he misappropriated a customer’s funds. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Carlson Law Files Claim Involving Anthony Desjardins of Centaurus
Carlson Law recently filed a case on behalf of an investor against Centaurus Financial involving the actions of Lady Lake, Florida financial advisor Anthony Desjardins (CRD# 6528916). Mr. Desjardins is a broker registered with Centaurus Financial, doing business as Desjardins Retirement Solutions. Carlson Law’s client is a retired 73-year-old, living in The Villages, Florida…. Read More »
Rick Shaw: $1.5mm Complaint Against Lincoln Financial Advisor
Scottsdale, Arizona financial advisor Rick Shaw (CRD# 1870018) has received multiple investor complaints alleging that he recommended unsuitable investments in real estate and oil and gas products. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Todd Havemeister: FINRA Suspends Ex-Great Point Capital Advisor
Orlando financial advisor Todd Havemeister (CRD# 1942953) allegedly misrepresented private placement offerings, according to a recent regulatory sanction. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Great Point Capital broker is currently registered as an investment advisor with Blueskye Investment Advisors.
Larry Teichman: Ex-LPL Advisor Faces $110K REIT Complaint
Former Chesterland, Ohio financial advisor Larry Teichman (CRD# 2759058) recently received an investor complaint stemming from an REIT investment. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services and LPL Financial broker is currently not registered with any broker-dealer firm.
Ronald Berg: FINRA Bars Innovation Partners Advisor
Charlotte, North Carolina financial advisor Ronald Berg (CRD# 19008) was recently sanctioned in connection with an investigation into his alleged recommendation of private offerings to senior customers. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Innovation Partners.
Bill Munn: Ameriprise Denies RiverSource 200K Complaint
Paramus, New Jersey financial advisor Bill Munn (CRD# 2250062) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Ameriprise Financial Services.
Brandon Morrow: Complaint Against Emerson Advisor Alleged $900K
Irvine, California financial advisor Brandon Morrow (CRD# 3037943) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the Emerson Equity broker is also a Regional Vice President at Keystone National Properties Real Estate.
Scott Olson: Innovation Partners Advisor Faces $500K REIT Complaint
Melbourne, Florida financial advisor Scott Olson (CRD# 711256) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Innovation Partners and IP Financial Advisory Services, respectively.
Bill Czaplewski: Lake Ridge Advisor Faces Suitability Complaint
A recent investor complaint against Monona, Wisconsin financial advisor Bill Czaplewski (CRD# 2386057) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Lake Ridge Financial.
