A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Morgan Stanley Advisor Scott Schlett Faces $400K Complaint
Scott Schlett (CRD# 2111952), a financial advisor based in Paramus, New Jersey, recently received an investor complaint alleging his conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Morgan Stanley.
Spartan Advisor Michael Russo: Complaints Allege Misconduct
Garden City financial advisor Michael Russo (CRD# 3072489) has been involved in investor complaints alleging unsuitable recommendations, churning, and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker registered with Spartan Capital Securities.
Fred Chen: $100K Complaint Against Emerson Equity Advisor
Irvine, California financial advisor Fred Chen (CRD# 5766069) allegedly recommended unsuitable investments and engaged in other violations of FINRA rules, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Emerson Equity, having previously been registered with Arque Capital.
Cetera Advisor Enkofi John Faces Forgery Complaint
Westbury, New York financial advisor Enkofi John (CRD# 6175076) recently received an investor complaint alleging his conduct resulted in damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Cetera Investment Services, having previously been registered with Foresters Advisory Services.
Elan Sanker: Selling Away Complaint Against Merrill Lynch Advisor
Pennington, New Jersey financial advisor Elan Sanker (CRD# 5580543) recently received an investor complaint alleging he engaged in misconduct that resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Jeffrey Lawson: Fifth Third Securities Denies $2.5 Million Complaint
A recent investor complaint against Florence, Kentucky financial advisor Jeffrey Lawson (CRD# 3257793) alleged that his conduct resulted in losses exceeding $2 million. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Fifth Third Securities.
LPL Advisor Brian Bates Faces ETF Complaint
Phoenix financial advisor Brian Bates (CRD# 2318413) is involved in an investor complaint alleging he failed to follow a customer’s instructions. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with LPL Financial, having previously been registered with PNC Investments.
Peter Shen: $1.5 Million Complaint Against Former IFG Advisor
A recent investor complaint against Orange, California financial advisor Peter Shen (CRD# 5769894) alleges that his conduct resulted in damages exceeding $1 million. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with NI Advisors, having previously been registered with Independent Financial Group.
Matthew Stratman: Bond Complaint Against Western International Advisor
Los Angeles-area financial advisor Matthew Stratman (CRD# 5834026) is involved in an investor complaint alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Western International Securities, having previously been registered with Merrill Lynch.
Carolyn Valentine: $471K TIC Complaint Against Ex-H. Beck Advisor
A recent investor complaint against Canton, Ohio financial advisor Carolyn Valentine (CRD# 2532412) alleges that her conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker registered with Cambridge Investment Research, having formerly been registered with H. Beck.
