Nashville, Tennessee financial advisor Dorris Jones (CRD# 735200) recently received an investor complaint alleging that her advice resulted in six-figure...
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David Hammond: Cetera Advisor Faces $215K Complaint
A recent investor complaint against Tucson, Arizona financial advisor David Hammond (CRD# 235308) alleges 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 Cetera Wealth Services and Cetera Investment Advisers, respectively, doing business as Hammond and Associates.
CJ Newton: UBS Advisor Lands Mismanagement Complaint
Greenville, South Carolina financial advisor CJ Newton (CRD# 6195382) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Henry Berg: PHX Financial Advisor Faces Suitability Complaint
A recent investor complaint against Fort Lauderdale, Florida financial advisor Henry Pinkenberg (CRD# 2375654) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker with PHX Financial.
Sharon Sykes: $500K Complaint Against ELE Advisor
Southfield, Michigan financial advisor Sharon Sykes (CRD# 1334948) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with ELE Wealth Solutions and an investment advisor with ELE Advisory Services.
Trent Tomlin: TPEG Advisor Receives $750K Complaint
A recent investor complaint against Rochester, New York financial advisor Trent Tomlin (CRD# 2630748) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities.
Jason Connolly: DFPG Investments Advisor Receives $300K Complaint
San Jose, California financial advisor Jason Connolly (CRD# 4708924) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments and an investment advisor with Diversify Advisory Services.
Andrew Marinos: Schwab Advisor Lands $2mm Complaint
Mission Viejo, California financial advisor Andrew Marinos (CRD# 4317707) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab.
Curtis Kroll: Wells Fargo Advisor Faced $10mm Complaint
A recent investor complaint against Jacksonville, Florida financial advisor Curtis Kroll (CRD# 6487481) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
William Pugh: FINRA Sanctions Ex-Columbia Capital Advisor
Former Los Angeles, California financial advisor William Pugh (CRD# 4855771) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Columbia Capital Securities.
Curtis Kroll: Wells Fargo Clearing Services Advisor Faced $10mm Complaint
A recent investor complaint against Jacksonville, Florida financial advisor Curtis Kroll (CRD# 6487481) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
