A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
Read MoreRecent Blog Posts
Rhett Fordham: $100K Complaint Against LPL, Ex-Raymond James Advisor
Franklin, Tennessee financial advisor Rhett Fordham (CRD# 4592437) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Fordham Investment Management.
Did Paul Ganun, Morgan Stanley Advisor, Misrepresent Investments?
Red Bank, New Jersey financial advisor Paul Ganun (CRD# 2358305) allegedly provided misleading information to his client, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that Mr. Ganun is a broker and an investment advisor with Morgan Stanley.
Osland Financial’s Michael Osland: $150K Mutual Fund Complaint
Scottsdale, Arizona financial advisor Michael Osland (CRD# 1791642) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Geneos Wealth Management, doing business as Osland Financial Group.
Morgan Stanley’s Walter Lim: $673K Options Strategy Complaint
A recent investor complaint against San Francisco financial advisor Walter Lim (CRD# 1747688) alleges six-figure damages relating to an options trading strategy. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, and that he previously received another investor complaint that was denied.
John Wolf: GWG Complaint Against Appleton-Based Cornerstone Advisor
A recent investor complaint against Appleton, Wisconsin financial advisor John Wolf (CRD# 1846080) alleges several forms of misconduct stemming from an investment in GWG L bonds. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is currently an investment advisor with Cornerstone Financial Planning.
Marc Davis: $1.3 Million Complaint Against Davis & Seiley Advisor
La Mesa, California financial advisor Marc Davis (CRD# 2087050) is involved in an investor complaint alleging damages of $1.3 million. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is an investment advisor with Davis & Seiley Wealth Management, having previously been registered with Purshe Kaplan… Read More »
Edward Balmes: Did Moloney Advisor Recommend Unsuitable Bonds?
Recent investor complaints against Chesterfield, Missouri financial advisor Edward Balmes (CRD# 2110152) allege negligence and suitability violations. Financial Industry Regulatory Authority records show that he is a broker with Moloney Securities and an investment advisor with Moloney Securities Asset Management.
David Reo: $350K Complaint Against Reo Financial Advisor
Rensselaer financial advisor David Reo (CRD# 2113425) is involved in an investor complaint alleging damages of more than $300,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with Innovation Partners and an investment advisor with IP Financial Advisory Services, doing business as Reo Financial Services.
Emma Hahn: Ameriprise Denies $95K Complaint Against Wichita Advisor
Wichita financial advisor Emma Hahn (CRD# 7241667) recently received an investor complaint alleging misconduct stemming from a variable annuity investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Ameriprise Financial Services.
Mark Nelson: Investor Complaint Against Chrysalis Wealth Advisor
Colorado Springs financial advisor Mark Nelson (CRD# 5074803) is involved in an investor complaint alleging his conduct resulted in damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Ameriprise Financial Services, and that he is also registered with the firm’s office in Albuquerque,… Read More »
