A recent investor complaint against Livingston, New Jersey financial advisor Jeff Morrison (CRD# 3200399) alleged negligence involving a corporate bond...
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Charles Fagan: Raymond James Denied $303K Complaint
St. Louis financial advisor Charges Fagan (CRD# 5040887) was recently involved in an investor complaint alleging he violated industry standards. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Raymond James Financial Services.
Jake Cazier: $850K Complaint Against Wealth Navigation Advisor
A recent investor complaint against Centerville, Utah financial advisor Jake Cazier (CRD# 6904198) alleges that he engaged in conduct resulting in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former JW Cole Financial broker is currently an investment advisor with Wealth Navigation Advisors.
Honor Investment Advisor Mike Baumann Faces $295K Complaint
Melbourne, Florida financial advisor Mike Baumann (CRD# 1518081) recently received an investor complaint alleging his conduct resulted in losses. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that the former Berthel Fisher & Company broker is currently registered as an investment advisor with Honor Financial Group.
Paul McFeeley: Suitability Complaint Against Ex-Oppenheimer Advisor
Boca Raton financial advisor Paul McFeeley (CRD# 1478424) allegedly provided unsuitable and misleading investment advice, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Hightower Securities.
Carlson Law Files Claim against Aegis for Losses Caused by Roshan Perera
Carlson Law has filed a FINRA arbitration claim against Aegis Capital Corp. on behalf of a New York-based family who lost over $800,000 in what is believed to be a fraud perpetrated by investment advisor Roshan Perera (CRD# 4716321).
David Lerner Advisor Michael Kinkel: $100K REIT Complaint
White Plains financial advisor Michael Kinkel (CRD# 5947093) allegedly provided misleading investment advice, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with David Lerner Associates.
Richard DePalma: Bond Complaint Against DePalma Investment Advisor
Erie, Pennsylvania financial advisor Richard DePalma (CRD# 4517536) recently received an investor complaint alleging that he provided misleading investment advice. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Centaurus Financial, doing business as DePalma Investment Group Corporation.
J. Brian Glaze: Ex-LPL Advisor Faces Suitability Complaint
A recent investor complaint against Graham, North Carolina financial advisor J. Brian Glaze (CRD# 5373140) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services, doing business as Envision Wealth Partners.
Wells Fargo Advisor Andy Hill Receives UIT Complaint
Riverbank financial advisor Andy Hill (CRD# 4606358) is involved in an investor complaint alleging his conduct resulted in damages. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services, including the firm’s offices in Atwater, Turlock, and Ceres.
Mary Ann Best & Jordan Forney: Bernstein & Co. Advisors Face Complaint
Washington, DC financial advisors Mary Ann Best (CRD# 4389355) and Jordan Forney (CRD# 6156849) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently a broker with Sanford C. Bernstein & Company and an investment advisor with AllianceBernstein. Ms. Best’s and Mr. Forney’s… Read More »
