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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Stella Lu: $1 Million Complaint Against Former Sunnyvale Advisor
Former Transamerica Financial Services advisor Stella Lu (CRD# 6270026) recently received an investor complaint alleging her recommendations led to seven-figure losses. Financial Industry Regulatory Authority records show that she was most recently registered as a broker and an investment advisor in Sunnyvale, California.
FINRA Sanctions Joseph Stone’s Mike Murillo: Unsuitable Trading
The Financial Industry Regulatory Authority sanctioned Mineola, New York financial advisor Mike Murillo (CRD# 4875997) over allegations of excessive and unsuitable trading. FINRA records show that the Joseph Stone Capital broker will be suspended from associating with any FINRA member firm in any capacity for a period of eight months.
Vince Bailey: Oil & Gas Complaint Against Geneva Advisor
Berthel Fisher & Company Financial Services advisor Vince Bailey (CRD# 1845517) has received multiple investor complaints alleging he recommended unsuitable products and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker based in Geneva, Illinois.
Jim Siemonsma: Mariner Advisor Has Atlas Growth Partners Complaint
Omaha financial advisor Jim Siemonsma (CRD# 2172228) recently received an investor complaint relating to investments in Atlas Growth Partners. Financial Industry Regulatory Authority records show that he is a broker with MSEC and an investment advisor with Mariner Wealth Advisors.
Andy Rodgers: Mainspring Wealth Advisor Had $134K Investor Complaint
Raymond James financial advisor Andy Rodgers (CRD# 2277643) recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor in Tukwila, Washington, where he is a representative of Mainspring Wealth Advisors.
Kevin Asano: $300K Complaint Against Honolulu Advisor
First Allied Securities advisor Kevin Asano (CRD# 4450052) allegedly recommended unsuitable investments and engaged in other forms of misconduct, according to an investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Honolulu, Hawaii.
Maria Heredia: $3.5 Million Complaint Against Winter Springs Advisor
A recent investor complaint against Edward Jones financial advisor Maria Heredia (CRD# 2846556) alleges her advice led to damages exceeding $3 million. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Winter Springs, Florida.
Mark Stevenson: NYC Stifel Nicolaus Advisor Has Investor Complaints
New York City financial advisor Mark Stevenson (CRD# 436079) has received multiple investor complaints that reached six- or seven-figure settlements. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Stifel Nicolaus & Company. He is also registered with the firm’s office in Miami, Florida.
Emilio Guajardo: $188K UIT Complaint Against Former BB&T Advisor
Merrill Lynch financial advisor Emilio Guajardo (CRD# 4871764) has received multiple investor complaints, including one that settled for more than $250,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in The Woodlands, Texas. He was previously registered with BB&T Securities.
Oil & Gas Complaint Against Lincoln Financial’s Peter Bryan
A recent investor complaint against Taylor, Texas financial advisor Peter Bryan (CRD# 1006417) details allegations concerning an oil and gas investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Lincoln Financial Securities Corporation.
