Former Miami financial advisor Dennis Herrera (CRD# 4618370) was recently sanctioned and suspended in connection with alleged rule violations. Financial...
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Thomas Williams: Schwab Advisor Lands $235K Complaint
Westlake, Texas financial advisor Thomas Williams (CRD# 7273101) allegedly provided false information to an investor, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab & Company.
Mike Chauvenet: $292K Complaint Against Centaurus Advisor
A recent investor complaint against Frisco, Texas financial advisor Mike Chauvenet (CRD# 1229930) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, and that he is a representative of Mortgage Resources and Concerto Realty Group.
Mike Coyne: NYSE Sanctions Benjamin Securities Advisor
Miami financial advisor Mike Coyne (CRD# 6456093) was recently sanctioned by the New York Stock Exchange in connection with allegations he failed to reasonably consider conflicts of interest. Financial Industry Regulatory Authority records show that he is registered as a broker with Benjamin Securities, having previously been registered with Ingalls & Snyder.
Casey Arundel: Arkadios Advisor Fired by UBS
Atlanta, Georgia financial advisor Casey Arundel (CRD# 4925418) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arkadios, having previously been registered with UBS Financial Services.
Victoria Pazzalia: $157K Complaint Against McAdam Advisor
Vienna, Virginia financial advisor Victoria Pazzalia (CRD# 5920806) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with Madison Avenue Securities and an investment advisor with McAdam Financial.
Mark Martin: Annuity Complaint Against Integrity Alliance Advisor
Imperial, Pennsylvania financial advisor Mark Martin (CRD# 1945626) allegedly recommended an annuity whose issuer became insolvent, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Integrity Alliance, doing business as Kuorum Partners.
Siamak Eghlidi: Calton Advisor Received $841K Complaint
A recent, denied investor complaint against Newburg, Oregon financial advisor Siamak Eghlidi (CRD# 1596968) alleged that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Calton & Associates, having previously been registered with Capital Financial Services.
Amy Brandts: $450K Complaint Against Symphony Advisor
Recent investor complaints against Herndon, Virginia financial advisor Amy Brandts (CRD# 1228497) allege losses resulting from a cyber security breach. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cambridge Investment Research, and that she is the owner of Symphony Financial Partners.
Li Kelly: LPL, Ex-NI Advisor Faces $100K-$500K Complaint
Forest Hills, New York financial advisor Li Kelly (CRD# 6115397) recently received an investor complaint alleging that her advice resulted damages as high as $500,000. Financial Industry Regulatory Authority records show that she is registered as a broker with LPL, having previously been registered with NI Advisors.
Iryna Warren: Merrill Denies Complaint Against Advisor
A recent, denied investor complaint against Washington, DC financial advisor Iryna Warren (CRD# 6286876) alleged that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
