A recent investor complaint against Highland Village, Texas financial advisor Mike Morrison (CRD# 1730240) alleges that he misrepresented and recommended...
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Patrick Morehead: $400K Complaint Against Quiver, Ex-WestPark Advisor
La Mirada, California financial advisor Patrick Morehead (CRD# 6661646) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former WestPark Capital broker is registered as an investment advisor with Quiver Financial Holdings.
Rosser Newton: $1mm-$5mm Complaint Against Skystone Advisor
A recent investor complaint against Dallas, Texas financial advisor Rosser Newton (CRD# 2616702) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Skystone Securities.
Andrea Bulow: Emerson, Ex-NI Advisor Lands $165K Complaint
San Mateo, California financial advisor Andrea Bulow (CRD# 3071648) recently received an investor complaint 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, having previously been registered with NI Advisors.
Rafael Williamson, REIT Complaint Against UBS Advisor
A recent investor complaint against Boston, Massachusetts financial advisor Rafael Williamson (CRD# 2784795) alleges that he misrepresented investments in REITs and variable annuities. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Bill Morrison: $100K-$500K Complaint Against B. Riley Advisor
A recent investor complaint against Oakbrook Terrace, Illinois financial advisor Bill Morrison (CRD# 1556786) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management and an investment advisor with B. Riley Wealth Advisors.
Steven Tann: $1mm Complaint Against Wells Fargo Advisor
Los Angeles financial advisor Steven Tann (CRD# 1589757) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo, having previously been registered with JP Morgan Securities.
Michael Minter: Mintco Advisor Lands $300K Complaint
Tampa, Florida financial advisor Michael Minter (CRD# 2989575) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LifeMark Securities, doing business as Mintco Financial.
Stephen Parks: $1mm-$5mm Complaint Against Skystone Advisor
A recent investor complaint against Dallas, Texas financial advisor Stephen Parks (CRD# 5074732) alleges that he recommended unsuitable alternative investments, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Skystone Securities.
James Lang: FINRA Recommends Action Against Lang Wealth Advisor
Westlake Village, California financial advisor James Lang (CRD# 2959057) allegedly improperly used an investor’s funds, according to a regulatory investigation into his conduct. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Lang Wealth Management.
Justin Cappadona: Raymond James Denies $1mm Complaint Against Advisor
A recent, denied investor complaint against McAllen, Texas financial advisor Justin Cappadona (CRD# 2775857) alleged that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
