Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Kurt Klingenberg: Raymond James Denies $100K Complaint
Scottsdale, Arizona financial advisor Kurt Klingenberg (CRD# 2384065) allegedly made excessive trades, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Raymond James & Associates.
Scott Hume: $135K Complaint Against Salish Wealth Advisor
A recent investor complaint against Bellingham, Washington financial advisor Scott Hume (CRD# 2894512) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Salish Wealth Management.
Thomas Geissler: $1mm-$5mm Complaint Against Ameritas Advisor
A recent investor complaint against Toledo, Ohio financial advisor Thomas Geissler (CRD# 2962412) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Ameritas Investment Company and an advisor with Ameritas Advisory Services. He is also a representative of Premier Planning… Read More »
Tim Hakes: Misappropriation Complaint Against Prime Capital Advisor
Overland Park, Kansas financial advisor Tim Hakes (CRD# 2399374) recently received an investor complaint alleging that he misappropriated funds. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Private Client Services and an investment advisor with Prime Capital Investment Advisors.
John Patock: $150K Complaint Against Christianson Financial Advisor
A recent investor complaint against Willmar, Minnesota financial advisor John Patock (CRD# 6039302) alleges that he made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Moloney Securities, doing business as Christianson Financial Advisors.
Chris Weeks: $800K Complaint Against Creative Planing Advisor
Overland Park, Kansas investment advisor Chris Weeks (CRD# 5463406) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Securities and Exchange Commission records show that he is currently registered with Creative Planning, having previously been registered with Northwestern Mutual Investment Services.
Kiran Devarapalli: Leaders Group Advisor Fired by LPL
Littleton, Colorado financial advisor Kiran Devarapalli (CRD# 6416586) was recently fired by LPL Financial in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with The Leaders Group and an investment advisor with Ciro Capital.
Max & Randy Birkinbine: Ausdal Advisors Face GWG Complaint
North Oaks, Minnesota financial advisors Max Birkinbine (CRD# 6836583) and Randy Birkinbine (CRD# 2008599) have received an investor complaint alleging that they recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that both are registered as a broker and an investment advisor with Ausdal Financial Partners.
Bruce Johnson: L Bond Complaint Against Portsmouth Financial Advisor
San Francisco financial advisor Bruce Johnson (CRD# 1126862) allegedly misrepresented investments in GWG L bonds, according to an investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Portsmouth Financial Services.
Cataldo Panici: $355K REIT Complaint Against Wintrust advisor
Frankfort, Illinois financial advisor Cataldo Panici (CRD# 2112617) recently received an investor complaint alleging damages of more than $300,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wintrust Investments.
