Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreRecent Blog Posts
Brian Horn: Oil & Gas Complaint Against Lincoln Advisor
A recent investor complaint against Hunt Valley, Maryland advisor Brian Horn (CRD# 2823904) details allegations regarding an oil and gas investment. Financial Industry Regulatory Authority records show that he is a representative of Heritage Financial Consultants, registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Derek Ferriera: $150K Oil & Gas Complaint Against Campbell Advisor
Lincoln Financial Services Corporation advisor Derek Ferriera (CRD# 1290274) has received an investor complaint alleging his recommendations resulted in six-figure loses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Campbell, California.
Jennifer Lander: Did Lonestar Advisor Recommend Unsuitable Securities?
Addison, Texas financial advisor Jennifer Lander (CRD# 6321163) allegedly made an unsuitable investment recommendation, according to a recent investor complaint against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Titan Securities, doing business as Lonestar Wealth Advisors.
Sara Ng: GPB Capital Complaint Against Former Axiom Advisor
Former New York City broker and investment advisor Sara Ng (CRD# 2701165) has received an investor complaint alleging she misrepresented an investment in GPB Capital. Financial Industry Regulatory Authority records show that the former Primex, Westpark Capital, and Moloney Securities representative has also recently been based in Oakbrook, Illinois. She is also known as… Read More »
Caryn Alles: $1 Million Complaint Against Portland Advisor
A recent investor complaint against Morgan Stanley advisor Caryn Alles (CRD# 4255618) alleges her investment recommendation resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Portland, Oregon.
Kirk Badii: $3 Million Complaint Against Badii Group Advisor
Southlake, Texas financial advisor Kirk Badii (CRD# 5829768) recently received an investor complaint alleging his advice led to millions of dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Independent Financial Group, doing business as Badii Group Private Wealth Management.
Brion Harris: Oil & Gas Complaint Against Premiere Planning Advisor
Annapolis financial advisor Brion Harris (CRD# 3199095) has received an investor complaint alleging he made unsuitable investment recommendations that resulted in losses. Financial Industry Regulatory Authority Records show that the Premier Planning Group representative is registered as a broker and an investment advisor with Cetera Advisor Networks.
Dustin Perkins: Legacy Investment Advisor Accused of Negligence
Franklin, Tennessee financial advisor Dustin Perkins (CRD# 6583368) recently received an investor complaint alleging negligence and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a representative of Legacy Investment Planning and is registered with SA Stone Wealth Management as a broker and an investment advisor.
Jason Kunz: $200K Investor Complaint Against Phoenix Advisor
Raymond James Financial Services advisor Jason Kunz (CRD# 4565340) allegedly made unauthorized trades, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Phoenix, Arizona.
Matthew Shapiro: $422K Complaint Against Woodbury Financial Advisor
Platform Technology Partners advisor Matthew Shapiro (CRD# 5561680) recently received an investor complaint alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Sanford C. Bernstein & Company broker is currently based as an investment advisor in Woodbury, New York.
