A recent investor complaint against Lenexa, Kansas financial advisor James Blalock (CRD# 7385122) alleges theft from a customer’s account. Financial...
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William May: $1 Million Complaint Against Morgan Stanley Rep
A pending customer complaint against Alpharetta, Georgia-based broker and investment adviser William May (CRD#: 1254424) seeks more than $1 million in damages. According to Financial Industry Regulatory Authority (FINRA) records, May is currently a registered representative with Morgan Stanley and has no other customer complaints listed on his disclosure form. Filed in February 2021,… Read More »
Steve Berrocal: Northstar Complaints Against Truist Rep
Coral Gables, Florida-based broker and investment adviser Steve Berrocal (CRD#: 3071400) has received several pending customer complaints alleging he recommended unsuitable investments that resulted in six-figure losses to investors. According to records provided by the Financial Industry Regulatory Authority (FINRA), Berrocal is currently a representative of Truist Investment Services. Steve Berrocal’s BrokerCheck report lists… Read More »
Jon Paul Cirelli: Concorde Broker Has $2.5 Million Complaint
Jupiter, Florida-based broker and investment adviser Jon Paul Cirelli (CRD# 4729737) has received a pending customer complaint alleging his actions led to losses of $2.5 million, as well as other customer complaints. According to records provided by the Financial Industry Regulatory Authority (FINRA) Cirelli is currently a registered representative of Concorde Investment Services. Jon… Read More »
Adam Stowell: $1 Million Complaint Against Morgan Stanley Rep
Alpharetta, Georgia-based broker and investment adviser Adam Stowell (CRD# 5889607) has received a pending customer complaint alleging seven-figure losses. According to records provided by the Financial Industry Regulatory Authority (FINRA) Stowell is currently a registered representative of Morgan Stanley. Adam Stowell’s FINRA-maintained BrokerCheck report lists a single pending customer complaint against him. Filed in… Read More »
Todd Bauman: Ameriprise Rep Gets $1.4 Million ETF Complaint
Todd Bauman (CRD# 2631144), a broker and investment adviser in Deerfield, Illinois, has received a pending customer complaint alleging damages that exceed $1 million. Financial Industry Regulatory Authority (FINRA) records show that Bauman is a registered representative of Ameriprise Financial Services, and that he has also received a customer complaint that reached settlement. Todd… Read More »
Charles Blatz: $1.5MM Complaint Against Red Bank Rep
Charles Blatz (CRD# 706158), a broker and investment adviser registered with Benjamin F. Edwards & Company recently received a pending customer complaint alleging losses of more than $1 million. Blatz is currently based in Red Bank, New Jersey and has several other customer complaints listed in records provided by the Financial Industry Regulatory Authority… Read More »
Peter Ianace: Ex-Wells Fargo Rep Has $18 Million Complaint
Former Plano, Texas broker and investment adviser Peter Ianace (CRD#: 3238078) has received pending customer complaints in the last several years, including one alleging damages of $18 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Ianace was most recently registered with Wells Fargo Clearing Services, though he was barred in… Read More »
Bob Elmo: $1.3 Million Complaint Against NYC UBS Broker
New York City-based UBS Financial Services broker and investment adviser Bob Elmo (CRD#: 200601) has received a pending customer complaint seeking damages of more than $1 million, according to records provided by the Financial Industry Regulatory Authority (FINRA). The complaint alleges in part that Elmo recommended unsuitable products. Bob Elmo’s BrokerCheck report lists one… Read More »
Stamford Broker Joseph Chu: $1.6 Million Complaint
Financial Industry Regulatory Authority (FINRA) records show that RBC Capital Markets broker and investment adviser Joseph Chu (CRD# 4546805) recently received several denied or pending customer complaints in recent years, including one that alleges damages of $1.6 million. Chu is based in Stamford, Connecticut.
Daniel Lerner: Energy 11 Complaints Against White Plains Rep
Daniel Lerner (CRD# 1255769), a broker located in White Plains, New York, is the recipient of numerous closed, denied, or pending customer complaints. As a representative of David Lerner Associates, according to records provided by the Financial Industry Regulatory Authority (FINRA), Lerner allegedly misrepresented material facts, violated his fiduciary obligation to his customers, and… Read More »
