Elma, New York financial advisor Craigg McRae (CRD# 4697209) was recently sanctioned and suspended in connection with alleged rule violations....
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Jeffrey Tucker: Bond Complaint Against Ocala-Based Truist Advisor
Ocala, Florida financial advisor Jeffrey Tucker (CRD# 1974408) allegedly provided misleading information to an investor, according to a recent complaint. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Truist Investment Services, having previously been registered with BB&T Securities.
Eric Tom: $100K REIT Complaint Against Former MSI Advisor
East Hills, New York financial advisor Eric Tom (CRD# 1890823) is involved in multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with MML Investors Services, having previously been registered with MSI Financial Services.
Brian Timmer: Ameriprise Advisor Receives Mutual Fund Complaint
A recent investor complaint against Hudsonville, Michigan financial advisor Brian Timmer (CRD# 1816017) alleges he made an investment recommendation that resulted in damages of more than $70,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
David Frolicstein: GWG Complaint Against Frolicstein Financial Advisor
St. Charles, Illinois financial advisor David Frolicstein (CRD# 1582362) recently received an investor complaint alleging that an investment in GWG L bonds resulted in damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Ausdal Financial Partners as well as a representative of Frolicstein Financial Solutions Group.
Phil Goldstein: GWG Complaints Against Vere, 1st Financial Advisor
Clark’s Summit, Pennsylvania financial advisor Phil Goldstein (CRD# 1031460) is involved in recent investor complaints alleging misconduct relating to sales of GWG L bonds. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former broker is currently an investment advisor with 1st Financial Investment and Vere… Read More »
Cantel Wealth Management’s Brian Cantel Denies Investor Complaint
Flowery Branch, Georgia financial advisor Brian Cantel (CRD# 1743229) allegedly misrepresented and recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Berthel Fisher & Company, as well as a representative of Cantel Wealth Management.
Kimsey Hollifield: Investor Complaint Against Ex-Alphastar Advisor
A recent investor complaint against Summerville, South Carolina financial advisor Kimsey Hollifield (CRD# 5851037) alleges that he recommended an unsuitable structured note. Records maintained by the Securities and Exchange Commission indicate that he is an investment advisor registered with Brookstone Wealth Advisors and the owner of Hollifield Financial Group.
John Moy: $100K-$500K Complaint Against Moy Wealth Management Advisor
Boca Raton financial advisor John Moy (CRD# 848350) allegedly breached his fiduciary duty to place an investor’s interests above his own, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group, doing business as… Read More »
Investment Center of Estes Park’s Jeffrey Morris: $150K Complaint
Recent investor complaints against Estes Park, Colorado financial advisor Jeffrey Morris (CRD# 2478499) allege that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Investment Center of Estes Park.
Michael Keen: Vanguard Closed Complaint Against Charlotte Advisor
Charlotte, North Carolina financial advisor Michael Keen (CRD# 6585665) was recently involved in an investor complaint alleging his conduct resulted in five-figure losses. Records maintained by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Vanguard Advisers broker is currently an investment advisor with Byron Financial.
