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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James Poindexter: $624K Complaint Against Financial Coach Advisor
Prescott, Arizona financial advisor James Poindexter (CRD# 1867899) recently received an investor complaint alleging that his conduct resulted in damages exceeding $600,000. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services and an advisor with Independent Wealth Network, doing business as The Financial Coach.
Ron Oliver: Stifel Advisor Received $700K Complaint
A recent, denied investor complaint against Irvine, California financial advisor Ron Oliver (CRD# 1666760) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Mac McIntyre: $250K Complaint Against B. Riley Advisor
Oakbrook Terrace, Illinois financial advisor Mac McIntyre (CRD# 2839149) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with B. Riley Wealth.
Chris Mavrakos: $250K Complaint Against LPL, MFP Advisor
A recent investor complaint against Safety Harbor, Florida financial advisor Chris Mavrakos (CRD# 1793086) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with MFP Financial Services.
Stephen Scott: Options Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Antonio, Texas financial advisor Stephen Scott (CRD# 5553385) concerns an investment in an options strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Ken Vercellino: $10mm Complaint Against Raymond James Advisor
San Francisco financial advisor Ken Vercellino (CRD# 2583864) recently received an investor complaint alleging 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 Raymond James & Associates.
Rick Brown: $1.5mm Complaint Against Arete Advisor
A recent investor complaint against Nashville, Tennessee financial advisor Rick Brown (CRD# 2541545) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arete Wealth Management.
Robert Wilson: Why Was Principal Advisor Fired by Wells Fargo?
Eagle, Idaho financial advisor Robert Wilson (CRD# 6394736) was recently fired by his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Wells Fargo representative is currently registered as a broker with Principal Securities.
Norma Sepulveda: Morgan Stanley Advisor Faces Suitability Complaint
A recent investor complaint against Winter Park, Florida financial advisor Norma Sepulveda (CRD# 1247666) alleges that she recommended an unsuitable strategy. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Don Pittman: Advisor Fired by Edward Jones
Former Lubbock, Texas financial advisor Don Pittman (CRD# 7119777) was recently fired from his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Edward Jones representative is not currently registered as a broker or an investment advisor.
