A recent investor complaint against Livingston, New Jersey financial advisor Jeff Morrison (CRD# 3200399) alleged negligence involving a corporate bond...
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Morgan Stanley’s Sean Righter Lands $1.5 Million Complaint
Irvine, California financial advisor Sean Righter (CRD# 5419832) recently received an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Aubrey Lee: $175K Complaint Against Merrill Lynch Advisor
A recent investor complaint against Farmington Hills, Michigan financial advisor Aubrey Lee (CRD# 1685532) alleges that a variable annuity investment resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Merrill Lynch.
Brian Everett: $114K Complaint Against Everett Financial Group Advisor
Dallas financial advisor Brian Everett (CRD# 1250585) allegedly provided investment advice that resulted in six-figure losses, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Cetera Advisors and Cetera Investment Advisers, doing business as Everett Financial Group.
Maria Gasparro: New Investor Complaint Against Ex-Merrill Advisor
Melville, New York financial advisor Maria Gasparro (CRD# 1250585) allegedly misappropriated customer funds, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that she is a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.
Shim Plotkin: $300K Complaint Against Plotkin Financial Advisor
A recent investor complaint against Chevy Chase, Maryland financial advisor Shim Plotkin (CRD# 2431863) alleges that his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Independent Financial Group and an investment advisor with Plotkin Financial Advisors.
Clayton Shum: Why Did Grove Point Fire Burlingame Advisor?
Burlingame financial advisor Clayton Shum (CRD# 4412927) was recently fired from Grove Point Investments in connection with allegations he violated firm policies. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with Aegis Capital.
Michael Colletti: FINRA Files Complaint Against Polaris Advisor
A pending regulatory complaint against Kings Park, New York financial advisor Michael Colletti (CRD# 4577898) alleges that he made unauthorized trades in an elderly customer’s account. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Sovereign Global Advisors, doing business as Polaris Financial Group.
Louis Valdez: Complaint Against NYC Spartan Advisor Seeks $1 Million
New York City financial advisor Louis Valdez (CRD# 2926686) recently received an investor complaint alleging that his conducted resulted in seven-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker with Spartan Capital Securities, having previously been registered with BlackBook Capital and Columbus Advisory Group.
Joao Pinto: $268K Complaint Against Spartan Capital Advisor
New York City financial advisor Joao Pinto (CRD# 6298233) allegedly churned investments and made misrepresentations of material facts, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Spartan Capital Securities, having previously been registered with Benchmark Investments.
Equity Services Advisor Keith Baron Has Misappropriation Complaint
A recent investor complaint alleges that former Jericho, New York financial advisor Keith Baron (CRD# 3231494) solicited investments in order to misappropriate funds. Records provided by the Financial Industry Regulatory Authority indicate that Mr. Baron was most recently registered as a broker with Equity Services, though he is not currently registered with any state… Read More »
