A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
Read MoreRecent Blog Posts
Eric Marvin: $100K Complaint Against M&M Wealth Advisor
A recent investor complaint against Fort Meyers financial advisor Eric Marvin (CRD# 4856310) alleges that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the M&M Wealth Management Advisor is not currently registered as a broker.
Mark Joneson: Oil & Gas Complaint Against Rapid City Advisor
Cetera Advisor Networks financial advisor Mark Joneson (CRD# 4119915) recently received an investor complaint alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Rapid City, South Dakota, having previously been registered with Berthel Fisher & Company.
Mariner Wealth’s Jay Schechter Receives Mutual Fund Complaint
A recent investor complaint against Coral Gables, Florida financial advisor Jay Schechter (CRD# 4019220) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker with MSEC and an investment advisor with Mariner Wealth Advisors.
Investor Complaint Against Edina Advisor Monica Sinha
Northwestern Mutual Investment Services advisor Monica Sinha (CRD# 3234116) recently received an investor complaint that settled for more than $200,000. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Edina, Minnesota, and that she has received several regulatory sanctions.
Eliot Sherer: $500K Complaint Against Aegis Capital Advisor
A recent investor complaint against Melville, New York financial advisor Eliot Sherer (CRD# 2719671) alleges his conduct resulted in damages of half a million dollars. Financial Industry Regulatory Authority records show that he is a broker registered with Aegis Capital Corporation.
Investor Files Complaint Against Houston Advisor Eduardo Leon
Global Financial Services advisor Eduardo Leon (CRD# 2232647) has received multiple investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker based in Houston, Texas.
Hornor Townsend & Kent Fires Goodyear Advisor Chip Wodrich
Former Goodyear, Arizona financial advisor Chip Wodrich (CRD# 2715728) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was a broker with Hornor Townsend & Kent, doing business as Prolific Financial Solutions.
Morgan Stanley Advisor Lawrence Catena: Mutual Fund Complaint
Naples, Florida financial advisor Lawrence Catena (CRD# 2037155) allegedly provided investment advice that resulted in losses, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Denver Advisor Scot Barringer: GWG Holdings Complaints
Investor complaints against American Trust Financial Services financial advisor Scot Barringer (CRD# 1385168) allege that he sold unsuitable GWG L bond investments. Financial Industry Regulatory Authority records show that the Lisle, Illinois broker is also registered as an investment advisor with Chicago Capital Management Advisors in Denver, Colorado.
Southfield Advisor Loren Morrison: Negligence Complaint
Stifel Nicolaus & Company financial advisor Loren Morrison (CRD# 4578161) recently recently received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Southfield, Michigan, and that he was previously registered with LPL Financial.
