Investors who suffered losses in on investments in Spring Hill Holdings may have recovery options. The company, an owner and...
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Luke Johnson: Ex-Coastal Advisor Named in FINRA Complaint
Former Scottsdale financial advisor Luke Johnson (CRD# 3257008) allegedly recommended unsuitable investments in GPB Capital and other products while falsifying his customers’ account information, according to an enforcement action filed this month by the Financial Industry Regulatory Authority. FINRA records show that the former Coastal Equities representative is not currently registered with any broker-dealer… Read More »
Barry Hesse: Did Thrivent Advisor Fail to Execute Sales?
A recent investor complaint against Jonesboro, Arkansas financial advisor Barry Hesse (CRD# 2652246) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Thrivent Investment Management.
Taylor Thompson: UBS Advisor Lands $1mm Investor Complaint
Irvine financial advisor Taylor Thompson (CRD# 5951104) allegedly failed to execute an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website describes him as a Senior Vice President of the Thompson Katzaroff Kottmeier… Read More »
USCA Advisor Derek Su Faces $2 Million Investor Complaint
A recent investor complaint against Austin financial advisor Derek Su (CRD# 4121574) alleges that his conduct resulted in damages of more than $2 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with USCA Securities and US Capital Wealth Advisors, respectively.
Joe Katzaroff: $1 Million Suitability Complaint Against UBS Advisor
Irvine, California financial advisor Joe Katzaroff (CRD# 1811119) recently received an investor complaint alleging his conduct resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website shows that he is a member of the Thompson Katzaroff Kottmeier Group.
John Anderson: Ex-AE Wealth Advisor Faces $600K Complaint
Gainesville, Georgia financial advisor John Anderson (CRD# 5922928) has received multiple investor complaints alleging his conduct resulted in six-figure losses. Securities and Exchange Commission records show that he is an investment advisor with Anderson Advisors, having previously been registered with AE Wealth Management and Global Financial Private Capital.
Chris Moyseos: Morgan Stanley Advisor Receives $585K Complaint
Austin financial advisor Chris Moyseos (CRD# 5584290) recently received an investor complaint alleging more than $500,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Matt Engelau: LPL Financial Advisor Denies ETF Complaint
Hackettstown, New Jersey financial advisor Matt Engelau (CRD# 5233851) recently received an investor complaint alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial.
Adam Jacobs: Did Oppenheimer Advisor Make Unauthorized Trades?
A recent investor complaint against Beachwood, Ohio financial advisor Adam Jacobs (CRD# 4990788) alleges that he breached his fiduciary duty and made unauthorized trades. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Oppenheimer & Company, with which he is also registered in Boca Raton, Florida.
Troy Perkins: $125K Oil & Gas Complaint Against Concourse Advisor
The Woodlands, Texas financial advisor Troy Perkins (CRD# 4337530) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Concourse Financial Group Securities, doing business as Perkins Financial.
