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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Jim Van Meter: $349K Complaint Against Tahoe Financial Advisor
Reno, Nevada financial advisor Jim Van Meter (CRD# 4557517) recently received an investor complaint alleging his advice led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Center Street Securities and Center Street Advisors, respectively. He is also the president and owner of Tahoe… Read More »
Justin Gillham: $1mm Investor Complaint Against Scottsdale Advisor
Merrill Lynch financial advisor Justin Gillham (CRD# 4575519) recently received an investor complaint alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.
Joao Bastos: Did Miami Beach Advisor Make Unauthorized Purchase?
Citigroup Global Markets advisor Joao Bastos (CRD# 4628555) recently received an investor complaint alleging he made an unauthorized purchase. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Miami Beach, Florida.
Ex-Indie Asset Partners Broker Brent Foster Denies Complaints
Northbound Wealth representative Brent Foster (CRD# 5054998) is involved in numerous investor complaints. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Indianapolis-based investment advisor was formerly a broker with JP Morgan Securities and an advisor with Indie Asset Partners.
Garrett Moretz: GWG L Bond Complaint Against LifeMark Advisor
An investor complaint against Mooresville, North Carolina financial advisor Garrett Moretz (CRD# 4086791) alleges that an investment in GWG L bonds resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LifeMark Securities.
Nancy Cole: Sacramento Advisor Charged in SEC’s GWG L Bond Complaint
The Securities and Exchange Commission has filed charges against Western International Securities advisor Nancy Cole (CRD# 2900724), alleging she recommended unsuitable sales of GWG L bonds. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Sacramento, California.
Sui-Hock Goy: $100K GWG Complaint Against NI Advisors Rep
A recent investor complaint against Milpitas, California financial advisor Sui-Hock Goy (CRD# 2821380) alleges various forms of misconduct relating to an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with NI Advisors.
Jeff Kennedy: $500K Investor Complaint Against Quincy Advisor
Center Street Securities financial advisor Jeff Kennedy (CRD# 5094149) recently received an investor complaint alleging his advice resulted in half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Quincy, Illinois.
Seth Stewart: 6-Figure Complaints Against Jeffersonville Advisor
Brookstone Financial advisor Seth Stewart (CRD# 5467292) has received multiple investor complaints alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Center Street Securities broker is currently registered as an investment advisor in Jeffersonville, Indiana.
Clark Owen: $114K GWG Complaint Against Cetera Advisor
A recent investor complaint against Cupertino financial advisor Clark Owen (CRD# 6096730) alleges that an investment in GWG L bonds resulted in six-figure damages. Financial Industry Regulatory Authority records show that the Cetera Investment Services broker and investment advisor has also been terminated from a former member firm in relation to alleged rule violations.
