Canton, Texas financial advisor Dale Hester (CRD# 1992112) is under investigation by state securities authorities for allegations of misconduct. Financial...
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Monica Osborne: $200K Complaint Against Avantax, Jones & Roth Advisor
Eugene, Oregon financial advisor Monica Osborne (CRD# 3256608) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Avantax. She is also a representative of Jones & Roth Financial Advisors.
Scott Phillips: SDP Planning Advisor Faces 6-Figure Complaints
Salt Lake City financial advisor Scott Phillips (CRD# 1311907) has received multiple investor complaints alleging that he recommended unsuitable and risky investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Centaurus Financial, doing business as SDP Personalized Planning.
John Micera: $2.2 Million Complaint Against RBC Advisor
Florham Park, New Jersey financial advisor John Micera (CRD# 1255342) recently received an investor complaint alleging that his advice resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with RBC Capital Markets.
Justine Cantafio: FINRA Suspends Fired NYLife Advisor
Former Avoca, Pennsylvania financial advisor Justine Cantafio (CRD# 6158299) has been suspended in connection with allegations of forgery and unauthorized conduct. Financial Industry Regulatory Authority records show that she was most recently registered with Hornor Townsend & Kent, having previously been registered with NYLife Securities in Scranton, Pennsylvania.
Barbara Leonard: $125K Complaint Against LPL Advisor
Galveston, Texas financial advisor Barbara Leonard (CRD# 4607044) has received multiple investor complaints alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with LPL Financial.
Bradley Lakner: $100K-$300K Complaint Against Lakner Wealth Advisor
A recent investor complaint against Springfield, Illinois financial advisor Bradley Lakner (CRD# 4167521) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Sunbelt Securities, doing business as Lakner Wealth Management.
Eric Marshall: $75K Bond Complaint Against Legacy Advisor
A recent investor complaint against East Peoria, Illinois financial advisor Eric Marshall (CRD# 4767380) alleges that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is a representative of Legacy Investment Services.
Douglas Ponczek: $200K Complaint Against UBS Advisor
A recent investor complaint against Aventura, Florida financial advisor Douglas Ponczek (CRD# 5843395) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services.
Mark Siegel: UBS Advisor Receives 6-Figure Investor Complaint
Washington, DC financial advisor Mark Siegel (CRD# 1579229) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.
Brandon Morgan: GWG Complaint Against Bradshaw & Weil Advisor
A recent investor complaint against Paducah, Kentucky financial advisor Brandon Morgan (CRD# 2230081) alleges that he recommended unsuitable investments in GWG L bonds. Securities and Exchange Commission records show that he is currently an investment advisor with AE Wealth Management and the president of Bradshaw & Weil.
