Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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Ken Arena: $500K Complaint Against Cetera, Ex-Newbridge Advisor
Pompano Beach, Florida financial advisor Ken Arena (CRD# 6997) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers.
Zachary Abraham: Bulwark, Ex-Clear Creek Advisor Faces $700K Complaint
A recent investor complaint against Tacoma, Washington financial advisor Zachary Abraham (CRD# 5595930) alleges that he gave unsuitable advice. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Abraham & Company broker is currently registered as an investment advisor with Trek Financial, doing business as Bulwark Capital Management.
Mark Rubin: $550K Complaint Against Raymond James Advisor
San Rafael, California financial advisor Mark Rubin (CRD# 1936202) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
William Chan: $550K Complaint Against Citi Advisor
A recent investor complaint against Rowland Heights, California financial advisor William Chan (CRD# 3103541) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
Jim Schenk: Merrill Advisor Lands Investor Complaint
Indianapolis, Indiana financial advisor Jim Schenk (CRD# 4035283) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Morgan Stanley.
Nick Centis: $10mm Complaint Against JP Morgan Advisor
San Francisco, California financial advisor Nick Centis (CRD# 6187468) recently received an investor complaint alleging that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
David Hoover: $976K Complaint Against Stifel Advisor
A recent investor complaint against San Francisco, California financial advisor David Hoover (CRD# 1722534) alleges that his conduct resulted in damages exceeding $900,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus.
Larry Tolbert: $113K Complaint Against Radian Advisor
Recent investor complaint against Memphis, Tennessee financial advisor Larry Tolbert (CRD# 1054714) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Integrity Alliance, doing business as Radian Partners.
Fred Hohensee: FINRA Suspends Abacus Advisor
Oconomowoc, Wisconsin financial advisor Fred Hohensee (CRD# 1431948) was recently suspended and fined in connection with allegations involving the sale of structured note products. Financial Industry Regulatory Authority records show that he is registered as a broker with Abacus Investments and an advisor with Hohensee Financial Services.
Rod Uy: $750K Complaint Against LifePoint Advisor
Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as LifePoint Wealth Management.
