Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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FINRA Sanctions Ex-White Plains Advisor Russ Kory: Oil & Gas LPs
The Financial Industry Regulatory Authority has sanctioned former White Plains advisor Russ Kory (CRD# 5901185) over allegations he recommended unsuitable oil and gas investments. Financial Industry Regulatory Authority records show that he is not currently a broker or an investment advisor, though he was last registered with David Lerner Associates.
Bill Godfrey: Why Did Thrivent Fire Tampa Advisor?
OneAmerica Securities financial advisor Bill Godfrey (CRD# 2447660) recently received an investor complaint alleging he engaged in misconduct. Financial Industry Regulatory Authority records show that the Tampa-based broker and investment advisor was also fired by one of his former employers, Thrivent Investment Management.
Jeremy Bouwman: New Investor Complaint Against Austin Advisor
Edward Jones financial advisor Jeremy Bouwman (CRD# 5530522) recently received an investor complaint alleging he provided unsuitable advice. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Austin, Texas.
Grace Chen: REIT Complaint Against Ex-Cetera, Citigroup Advisor
Former Cetera Financial Services financial advisor Yu-Chin Chen (CRD# 3041928), also known as Grace Chen, has received several investor complaints alleging her investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that she is not currently registered as a broker or an investment adviser, though she was most recently based in Arcadia,… Read More »
Emilio Vasquez: $100K Complaint Against Coconut Grove Advisor
Infinex Investments financial advisor Emilio Vasquez (CRD# 3222414) has received multiple investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Coconut Grove, Florida.
Aaron Rice: UIT Complaint Against Roseville Ex-BBVA Advisor
PNC Investments financial advisor Aaron Rice (CRD# 5416008) has received multiple investor complaints alleging he misrepresented investments he recommended. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Roseville, California. He is also registered with his firm’s offices in Lincoln, Elk Grove, Lodi, and Jackson, California.
Nick Giallourakis: New Fraud Complaint Against Boca Raton Advisor
Newbridge Financial Services advisor Nick Giallourakis (CRD# 4496285) recently received an investor complaint alleging he committed fraud and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boca Raton, Florida.
Tommy Pusser: Capital Cities Advisor Has Oil & Gas Complaint
Richmond, Virginia financial advisor Tommy Pusser (CRD# 4687904) allegedly recommended an unsuitable oil and gas investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors and an investment advisor with Capital Cities Investments.
L. Jacob Woodall: Gainesville Advisor Had Mutual Fund Complaint
Cetera Financial Services advisor L. Jacob Woodall (CRD# 5499376) recently received an investor complaint alleging he provided misleading advice. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Acworth and Gainesville, Georgia.
Rebecca Gaylor: $100K Oil & Gas Complaint Against Phoenix Advisor
JW Cole Financial advisor Rebecca Gaylor (CRD# 1452113) recently received an investor complaint alleging her advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Phoenix, Arizona. She is also known as Rebecca Morgan.
