A recent investor complaint against Santa Monica, California financial advisor Matt Ward (CRD# 2075525) alleged that his conduct resulted in...
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Tom Bates: $500K Complaint Against Bates Financial Advisor
Columbus, Ohio financial advisor Tom Bates (CRD# 1037294) allegedly gave misleading investment advice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research. His website shows that he is a representative of Bates Financial, which offers securities and advisory… Read More »
Charlotte McConnell: Ex-Cetera Advisor Faces $300K Complaint
Fort Collins, Colorado financial Charlotte McConnell (CRD# 1161160) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James Financial Services.
John Davenport: $150K Complaint Against J. Davenport Advisor
Norwalk, Connecticut financial advisor John Davenport (CRD# 1448999) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Liberty Partners Financial Services broker is currently an investment advisor with J. Davenport Advisors.
Cissy Hutchinson: Synovus Securities Fires Athens Advisor
Former Athens, Georgia broker Cissy Hutchinson (CRD# 2067670) was recently fired from Synovus Securities in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that she is currently registered as an investment advisor with Lanier Financial Group.
Betty Friant: FNEX Capital Advisor Private Placement Complaint
Indianapolis financial advisor Betty Friant (CRD# 2122446) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker registered with FNEX Capital and a representative of Kay Properties & Investments.
Joe Mauceli: GLM Financial Advisor Faces $300K Complaint
A recent investor complaint against Hackensack financial advisor Joe Mauceli (CRD# 2818956) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Advisors, as well as the owner of GLM Financial.
Larry Waller: HLM Financial Advisor Faces $135K Complaint
Atlanta financial advisor Larry Waller (CRD# 3232644) recently received an investor complaint alleging his conduct resulted in damages of more than $100,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with SA Stone, as well as the president of HLM Financial Services.
Kerri Jamison: Suitability Complaint Against Newbridge Advisor
Mesa, Arizona financial advisor Kerri Jamison (CRD# 4348584) recently received an investor complaint alleging that she misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group.
Matthew Steinberg: $2.5 Million Complaint Against Oppenheimer Advisor
Fort Washington, Pennsylvania financial advisor Matthew Steinberg (CRD# 2430032) recently received an investor complaint alleging he violated FINRA rules in connection with municipal bond and private equity investments. Financial Industry Regulatory Authority records show that he is a broker and an investor with Oppenheimer & Company.
Lien Nguyen: $MML Advisor Lands $407K Complaint
Los Angeles financial advisor Lien Nguyen (CRD# 2662699) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker registered with MML Investors Services, having previously been registered with MSI Financial Services.
