A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Petoskey Advisor Rochelle Roerig: Bond Complaint
PNC Investments financial advisor Rochelle Roerig (CRD# 4049700) recently received an investor complaint that reached a five-figure settlement. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Petoskey, Michigan.
FINRA Suspends Shawn Murff, Ballwin Financial Advisor
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Cutter & Company financial advisor Shawn Murff (CRD# 6714280). FINRA records show that the Ballwin, Missouri broker and investment advisor allegedly compensated a customer for a loss without his member firm’s authorization and has been suspended for one month.
Roman Petryszyn: Lincoln Financial Investor Files REIT Complaint
Henderson, Nevada financial advisor Roman Petryszyn (CRD# 2095397) is involved in an investor complaint detailing allegations regarding an oil and gas real estate investment trust (REIT). Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Innovation Partners and a representative of Roman Wealth Strategies.
Linh Tran: Investor Complaint Against Palo Alto Advisor
Morgan Stanley financial advisor Linh Tran (CRD# 4981423) recently received an investor complaint alleging she provided misleading advice. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Palo Alto, California.
Michael Kane: $135K Bond Complaint Against Hilltop Advisor
A recent investor complaint against Plano, Texas financial advisor Michael Kane (CRD# 2453018) alleges that his investment advice resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Hilltop Securities.
Daniel Feng: $487K Complaint Against Newport Beach Advisor
Former Irvine, California financial advisor Daniel Feng (CRD# 5607011) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered as an investment advisor with American Fundstars in Newport Beach, California.
Charles Funk: $2.3 Million Complaint Against Philadelphia Advisor
A new investor complaint against Goldman Sachs & Company financial advisor Charles Funk (CRD# 5607011) alleges more than $2 million in damages. Financial Industry Regulatory Authority records show that he is a broker based in Philadelphia, Pennsylvania.
Richard Jackman: $400K Complaint Against Orange, CA Advisor
Crown Capital Securities financial advisor Richard Jackman (CRD# 2501641) has received multiple investor complaints, including one that recently reached a six-figure settlement. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Orange, California.
Vincent Grucci: FINRA Investigates Ocean Ridge Advisor
Fortune Financial Services advisor Vincent Grucci (CRD# 1602600) allegedly made misrepresentations and unsuitable recommendations, according to a recent Financial Industry Regulatory Authority investigation. FINRA records show that he is a broker based in Ocean Ridge, Florida.
Anne Debowes: $431K Complaint Against Wells Fargo Advisor
A pending investor complaint against New Haven financial advisor Anne Debowes (CRD# 2157405) alleges more than $400,000 in damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Wells Fargo Clearing Services.
