A recent investor complaint against Roseville, California financial advisor Matt Nadeau (CRD# 4637541) reached a six-figure settlement. Financial Industry Regulatory...
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Merrill Lynch Advisor John O’Shaughnessey Receives Investor Complaint
Macon, Georgia financial advisor John O’Shaughnessey (CRD# 1739562) recently received an investor complaint alleging that his conduct resulted in losses exceeding $300,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, and that he is also known as William O’Shaughnessey III.
Atlas Oil & Gas Complaint Against JP Morand’s Jeff Morand
Englewood, Colorado financial advisor Jeff Morand (CRD# 728191) recently received an investor complaint alleging fraud connected to an investment in Atlas Oil and Gas Growth Partners. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Independent Financial Group, doing business as JP Morand & Company.
Pruco Denies Complaint Against Lancaster Advisor Evan Perets
A recent investor complaint against Pruco Securities financial advisor Evan Perets (CRD# 5778033) alleged his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Lancaster, Pennsylvania.
Eric Marvin: $100K Complaint Against M&M Wealth Advisor
A recent investor complaint against Fort Meyers financial advisor Eric Marvin (CRD# 4856310) alleges that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the M&M Wealth Management Advisor is not currently registered as a broker.
Mark Joneson: Oil & Gas Complaint Against Rapid City Advisor
Cetera Advisor Networks financial advisor Mark Joneson (CRD# 4119915) recently received an investor complaint alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Rapid City, South Dakota, having previously been registered with Berthel Fisher & Company.
Mariner Wealth’s Jay Schechter Receives Mutual Fund Complaint
A recent investor complaint against Coral Gables, Florida financial advisor Jay Schechter (CRD# 4019220) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker with MSEC and an investment advisor with Mariner Wealth Advisors.
Investor Complaint Against Edina Advisor Monica Sinha
Northwestern Mutual Investment Services advisor Monica Sinha (CRD# 3234116) recently received an investor complaint that settled for more than $200,000. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Edina, Minnesota, and that she has received several regulatory sanctions.
Eliot Sherer: $500K Complaint Against Aegis Capital Advisor
A recent investor complaint against Melville, New York financial advisor Eliot Sherer (CRD# 2719671) alleges his conduct resulted in damages of half a million dollars. Financial Industry Regulatory Authority records show that he is a broker registered with Aegis Capital Corporation.
Investor Files Complaint Against Houston Advisor Eduardo Leon
Global Financial Services advisor Eduardo Leon (CRD# 2232647) has received multiple investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker based in Houston, Texas.
Hornor Townsend & Kent Fires Goodyear Advisor Chip Wodrich
Former Goodyear, Arizona financial advisor Chip Wodrich (CRD# 2715728) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was a broker with Hornor Townsend & Kent, doing business as Prolific Financial Solutions.
