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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Mike Valenta: Oil & Gas Complaint Against Cambridge Advisor
Westminster, Colorado financial advisor Mike Valenta (CRD# 1386978) has received several investor complaints alleging he recommended unsuitable and/or concentrated investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research.
Chris Keelin: $250K Complaint Against Money Concepts Advisor
Alabaster, Alabama financial advisor Chris Keelin (CRD# 1455741) has received an investor complaint alleging he made misrepresentations that resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Money Concepts Capital Corp.
David Feigeles: $3.5 Million Complaint Against Oppenheimer Advisor
A recent investor complaint against Melville, New York financial advisor David Feigeles (CRD# 1530561) alleges he engaged in unauthorized trading and other forms of misconduct, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Oppenheimer & Company.
Tony Pitta: Capital Investment Advisor Has $625K Complaint
Melville, New York financial advisor Tony Pitta (CRD# 1958029) is involved in an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Capital Investment Group, as well as the owner of Fiduciary Advisory Services.
Jeffrey Noard: $100K Complaint Against Ex-Cabot Lodge Advisor
Menomonee Falls, Wisconsin financial advisor Jeffrey Noard (CRD# 1983392) allegedly recommended high-risk, illiquid investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Emerson Equity, doing business as Premier Legacy Wealth Management.
Cary Urich: $5 Million ETF Complaint Against United Planners Advisor
Greenville, South Carolina financial advisor Cary Urich (CRD# 2132001) recently received an investor complaint alleging his conduct resulted in as much as $5 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with United Planners’ Financial Services of America, doing business as Streamline Asset Management.
Richard Eden: $500K Energy 11 Complaint Against David Lerner Advisor
A recent investor complaint against Lawrenceville, New Jersey financial advisor Richard Eden (CRD# 2145727) alleges his investment advice resulted in damages of half a million dollars. Financial Industry Regulatory Authority records show that he is a broker registered with David Lerner Associates.
Jay Parrish: $3mm Complaint Against JLP Investments Advisor
An investor complaint against Jacksonville financial advisor Jay Parrish (CRD# 4951494) alleges that his investment advice resulted in $3 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, doing business as JLP Investments.
Chris Browning: $990K Complaint Against Masters Advisory Broker
Westlake Village financial advisor Chris Browning (CRD# 4786391) recently received an investor complaint alleging nearly one million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities, doing business as Masters Advisory Partners.
Rob Melberth: $3 Million Complaint Against Melberth Capital Advisor
Recent investor complaints against Sarasota financial advisor Rob Melberth (CRD# 4775230) allege that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity and an investment advisor with Melberth Capital, doing business as Melberth Enterprises.
