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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Dave Stuckey: Carrboro Royal Alliance Advisor Had REIT Complaint
Royal Alliance Associates financial advisor Dave Stuckey (CRD# 1372887) recently received an investor complaint relating alleging he sold unsuitable REIT and BDC products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Carrboro, North Carolina.
James Williams: $150K Complaint Against Boca Raton Advisor
Newbridge Securities Corporation financial advisor James Williams (CRD# 1631008) has received investor complaints alleging unsuitable sales, unauthorized transactions, and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker based in Boca Raton, Florida.
Andy Galy: $75K Complaint Against New Orleans Private Wealth Advisor
Metairie, Louisiana financial advisor Andy Galy (CRD# 1915564) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as New Orleans Private Wealth Management.
Chadwick Watson: Oil & Gas Complaint Against Charter Financial Advisor
Annapolis financial advisor Chadwick Watson (CRD# 2183286) has received investor complaints alleging unsuitable sales and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Lincoln Financial Advisors Corporation. He is a representative of Charter Financial Group.
Kevin McGrady: Oil & Gas Complaint Against Cranston Advisor
LPL Financial advisor Kevin McGrady (CRD# 2186164) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Cranston, Rhode Island, doing business as Integrated Wealth Concepts.
Thomas Craft: Ex-Lincoln Financial Advisor Has Oil & Gas Complaint
Former Lincoln Financial Advisors Corporation financial advisor Thomas Craft (CRD# 2355883) recently received an investor complaint relating to an oil and gas investment. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently an investment advisor with Gateway Asset Management in Independence, Ohio. Mr. Craft’s BrokerCheck report discloses one… Read More »
Jordan Hayes: Los Angeles Advisor Listed in Options Overlay Complaint
UBS financial advisor Jordan Hayes (CRD# 2391254) is involved in an investor complaint alleging that misconduct relating to an options overlay strategy resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Los Angeles, California.
Glen Gatlin: $9 Million Complaint Against Fort Worth Advisor
Merrill Lynch financial advisor Glen Gatlin (CRD# 1734089) recently received an investor complaint alleging that his investment advice led to $9 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Fort Worth, Texas.
Joe Greenberg: Did Desert Financial Advisor Make Unauthorized Trades?
Mesa, Arizona financial advisor Joe Greenberg (CRD# 1276521) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services and a representative of Desert Financial.
Philip Board: $60K Complaint Against Centaurus Advisor
A recent investor complaint against Upland, California financial advisor Philip Board (CRD# 2290520) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Centaurus Financial.
