A recent investor complaint against Livingston, New Jersey financial advisor Jeff Morrison (CRD# 3200399) alleged negligence involving a corporate bond...
Read MoreRecent Blog Posts
Cape Securities Advisor Bruce Phillips Faces $100K Skyloft Complaint
McDonough, Georgia financial advisor Bruce Phillips (CRD# 2239471) is involved in an investor complaint alleging that an NP Skyloft investment resulted in six-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Cape Securities and Cape Investment Advisory, respectively.
Michael Yarus: Why Did Wells Fargo Fire Ex-Paramus Advisor?
Wells Fargo recently fired former Paramus-based financial advisor Michael Yarus (CRD# 1543852) in connection with alleged rule violations. Financial Industry Regulatory Authority records indicate that he is now a broker with Carter, Terry & Company in Atlanta, Georgia.
Stanley Kaplan: $225K Complaint Against SW Financial Advisor
Melville financial advisor Stanley Kaplan (CRD# 865744) allegedly charged excessive commissions and acted negligently, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with SW Financial, having previously been registered with Joseph Gunnar & Company.
Ernest Harris: $300K Complaint Against Union Capital Advisor
Playa Vista financial advisor Ernest Harris (CRD# 714335) allegedly recommended an unsuitable investment that led to six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Union Capital Company.
Craig Friedrichsen: Complaints Against GamePlan Advisor Seek $150K
Recent investor complaints against Topeka financial advisor Craig Friedrichsen (CRD# 2774629) allege that he misrepresented investments and recommended illiquid products, including non-traded real estate investment trusts. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Pruco Securities, as well as a representative of GamePlan… Read More »
William Gardner: Why Did Edward Jones Fire Arkos Advisor?
Milton, Georgia financial advisor William Gardner (CRD# 7163062) was recently terminated from his position as a broker with Edward Jones in connection with alleged rule violations. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that he is currently registered as an investment advisor with Arkos Global Advisors.
Joyce Thomas: $738K Complaint Against JTW Financial Advisor
San Gabriel, California financial advisor Joyce Thomas (CRD# 2713664) is involved in an investor complaint alleging her recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records indicate that she is a broker and an investment advisor with Independent Financial Group, doing business as JTW Financial Services.
Manuel Melendez: UBS Advisor Faces $448K Complaint
A recent investor complaint against San Juan advisor Manuel Melendez (CRD# 4648278) details allegations involving unsuitable outside business ventures. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with UBS Financial Services.
Antoine Sabah: Why Did FINRA Bar Insigneo Broker?
Beverly Hills financial advisor Antoine Sabah (CRD# 4210987) was recently sanctioned in connection with alleged private securities transactions. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Insigneo Securities broker is currently an investment advisor with Galliott Capital Advisors.
Jimmy Monken: $1 Million Complaint Against Morgan Stanley Advisor
Clayton, Missouri financial advisor Jimmy Monken (CRD# 5765921) is involved in an investor complaint alleging damages of more than $1 million. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Morgan Stanley.
