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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Michaela Tarpenyans: Westlake Village Advisor Has $100K Complaint
Western International Securities advisor Michaela Tarpenyans (CRD# 5399032) has received an investor complaint alleging her investment advice resulted in losses. Financial Industry Regulatory Authority records show that she is a broker and investment advisor based in Westlake Village, California.
Christopher Ortiz: Ex-National Securities Advisor Has 350K Complaint
Christopher Ortiz (CRD# 2858626), a financial advisor based in Melville, New York, has received an investor complaint alleging his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Arete Wealth, having previously been registered with National Securities Corporation.
Steve Netzel: $425K Complaint Against Former Kalos Advisor
Sun Lakes, Arizona advisor Steve Netzel (CRD# 2863170) has received multiple investor complaints alleging he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with Val Vista Capital Management. While he is not currently registered as a broker, his recent registrations… Read More »
Dana Davis: $50K-$100K GPB Complaint Against Boca Raton Advisor
Newbridge Securities advisor Dana Davis (CRD# 1707708) recently received an investor complaint alleging he misrepresented and recommended unsuitable investments in GPB Capital. Financial Industry Regulatory Authority records show that he is a broker based in Boca Raton, Florida.
Investor Files Complaint Against Hackensack Advisor Daniel Mackle
Recent investor complaints against former Garden State Securities advisor Daniel Mackle (CRD# 2239531) allege that his investment advice resulted in more than $2 million in cumulative damages. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor in Hackensack, New Jersey.
Eric Christensen: UBS Advisor Received $597K Theft Complaint
A recent investor complaint against Stuart, Florida financial advisor Eric Christensen (CRD# 4719720) alleged he engaged in criminal theft that resulted in more than $500,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with UBS Financial Services, and that he has received several other investor complaints.
FINRA Suspends Newbridge, Ex-Kalos Advisor Chris Shaw
Belmont, North Carolina financial advisor Chris Shaw (CRD# 5011382) was recently sanctioned by securities industry regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records show that Mr. Shaw is a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services. He was previously registered with Pruco Securities and… Read More »
Kalos Advisor Michael Haffling: Suitability Complaints
Orland Park, Illinois financial advisor Michael Haffling (CRD# 5133150) has received numerous investor complaints that reached settlements in recent years. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Kalos Capital and Kalos Management.
Eric Nicolassy $103K Complaint Against Sanctioned Red Bank Advisor
Network 1 Financial Securities broker Eric Nicolassy (CRD# 6244539) excessively and unsuitably traded a senior customer’s account, according to a recent enforcement action against him. Financial Industry Regulatory Authority records show that the Red Bank, New Jersey representative has been suspended by FINRA until August 17, 2022.
Greg Melendez: Did Laidlaw Advisor Sell Unsuitable Investments?
Recent investor complaints against Melville, New York financial advisor Greg Melendez (CRD# 4920698) allege that he engaged in excessive trading in customer accounts. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Laidlaw & Company and Laidlaw Wealth Management.
