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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Jeremy Presley: Investor Complaint Against Atlanta LCORE Advisor
Atlanta financial advisor Jeremy Presley (CRD# 6685733) allegedly recommended unsuitable investments, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Alexander Capital, doing business as LCORE Wealth Management.
Hobert Wealth’s Jeff Hobert: Investor Complaint Seeks $100K
Newport Beach financial advisor Jeff Hobert (CRD# 805680) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Centaurus Financial, and a representative of Hobert Wealth Management.
Jim Shawver: $100K REIT Complaint Against Isaacson Advisor
Boynton Beach financial advisor Jim Shawver (CRD# 2571148) recently received an investor complaint alleging his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Peak Brokerage Services, doing business as Isaacson Tax & Estate Advisors.
Greg McLeod: $85K Fraud Complaint Against Newbridge Advisor
Fort Lauderdale financial advisor Greg McLeod (CRD# 2741097) allegedly committed fraud, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities Corporation and Newbridge Financial Services Group, respectively.
Northstar Complaint Against Infinex’s Robert Leslie
Recent investor complaints against Brooklyn financial advisor Robert Leslie (CRD# 2755940) allege he recommended unsuitable REIT and annuity products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Infinex Investments.
Roger Wacker: $400 Million Tesla Complaint Against UBS Advisor
Los Angeles financial advisor Roger Wacker (CRD# 3265519) has received investor complaints alleging his recommendations led to damages in the millions of dollars. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Juliann Smith: Advanced Financial Solutions Broker Has $100K Complaint
Kansas City financial advisor Juliann Smith (CRD# 1338081) has received multiple investor complaints alleging her investment advice resulted in losses. Financial Industry Regulatory Authority records show that she is a broker with Moloney Securities, doing business as Advanced Financial Solutions.
Phil Donahue: Panama City Beach Advisor Suspended by FINRA
PFS Investments financial advisor Phil Donahue (CRD# 1206346) allegedly made unsuitable mutual fund recommendations to his customers, according to a recent regulatory sanction against him. Financial Industry Regulatory Authority records show that the Panama City Beach, Florida broker and investment advisor was issued a suspension from associating with any FINRA member firm.
John Crigler: $100K L Bond Complaint Against JRL Capital Advisor
Irvine, California financial advisor John Crigler (CRD# 1014977) recently received an investor complaint alleging his recommendation to invest in GWG L bonds resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JRL Capital Corporation.
Jerry O’Halloran: $100K Complaint Against Daedalian Financial Advisor
Punta Gorda financial advisor Jerry O’Halloran (CRD# 1056697) has received multiple investor complaints alleging he recommended unsuitable investments and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with Union Capital Company, doing business as Daedalian Financial Services.
