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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John Thomas: Ft. Lauderdale Global Wealth Advisor Has $100K Complaint
A pending investor complaint against Fort Lauderdale financial advisor John Thomas (CRD# 4679845) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker with Madison Avenue Securities and an investment advisor with Global Wealth Management Investment Advisory. He was formerly registered with GF Investment Services. Mr. Thomas’s… Read More »
Brent Hablutzel: Why Did Rockefeller Financial Fire Colorado Advisor?
Rockefeller Financial recently fired Greenwood Village, Colorado financial advisor Brent Hablutzel (CRD# 4749339) in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently an investment advisor with Western Wealth Management in Greenwood Village.
Byron Martinsen: FINRA Suspends Centaurus Advisor
Kings Park, New York financial advisor Byron Martinsen (CRD# 1621649) engaged in improper private securities transactions, according to a recent FINRA sanction. Financial Industry Regulatory Authority records show that the Centaurus Financial broker and investment advisor has received multiple investor complaints, including one that alleges damages of $3 million.
Conrad Branson: FINRA Suspends Ex-Merrill Lynch Advisor
San Diego financial advisor Conrad Branson (CRD# 2939162) engaged in unauthorized trading, according to a recent Financial Industry Regulatory Authority sanction. FINRA records show that the Kingswood Capital Partners broker and investment advisor, formerly affiliated with Merrill Lynch in Mill Valley, has been issued a 45-day suspension from associating with any FINRA member firm.
Alex Phillips: ETF Complaint Against UBS Rep Settled for $290K
An investor complaint against Los Angeles financial advisor Alex Phillips (CRD# 1730948) reached a settlement of more than $200,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s office in Pacific Palisade, California.
Steve Hayden: $346K Complaint Against Atlanta Planning Group Advisor
Atlanta financial advisor Steve Hayden (CRD# 4620943) recently received an investor complaint alleging his investment advice led to more than $300,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors, doing business as Atlanta Planning Group.
Dan Beech: $300K Complaints Against Simple Wealth Advisor
Thousand Oaks, California financial advisor Dan Beech (CRD# 6169844) has received several investor complaints alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Innovation Partners, doing business as Simple Wealth. He was previously affiliated with Western International Securities in Westlake… Read More »
Financial Architects’ Daniel Barnard: Atlas Growth Partners Complaint
Overland Park, Kansas financial advisor Daniel Barnard (CRD# 2403593) has been involved in investor complaints alleging misrepresentations and unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker with Cabin Securities, doing business as Financial Architects.
Darren Oglesby: Investor Complaint Against Oglesby Financial Advisor
Monroe, Louisiana financial advisor Darren Oglesby (CRD# 2480135) recently received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is the president of Oglesby Financial Group and registered as a broker and an investment advisor with Money Concepts.
James Dunn: $1mm Complaints Against Barred Ameriprise Advisor
Former Vienna, Virginia financial advisor James Dunn (CRD# 6084258) allegedly refused to cooperate with an investigation into his conduct, according to a recent Financial Industry Regulatory Authority action barring him from acting as a broker. FINRA records show that the former Ameriprise Financial Services representative has also received numerous investor complaints, several of which… Read More »
