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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Jack Hebner: $150K Investor Complaint Against Sentinel Advisor
Hayden, Idaho financial advisor Jack Hebner (CRD# 3258824) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Moloney Securities, doing business as Sentinel Wealth Management.
Peter Goffin: Newbridge Advisor Faces $91K GWG Complaint
Boca Raton financial advisor Peter Goffin (CRD# 1617710) recently received an investor complaint alleging that a GWG investment recommendation resulted in damages. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group.
Alan Appelbaum: SEC Files Charges Against Boca Raton Advisor
Former Aegis Capital financial advisor Alan Appelbaum (CRD# 500336) allegedly recommended unsuitable structured products to his customers, according to Securities and Exchange Commission charges. Financial Industry Regulatory Authority and SEC records show that the former Boca Raton broker has received multiple customer complaints and that the SEC is seeking a jury trial against him.
Paul Gallivan: SEC Fines Boca Raton Advisor Over Structured Products
The Securities and Exchange Commission recently sanctioned former Aegis Capital broker Paul Gallivan (CRD# 5793918). According to Financial Industry Regulatory Authority records, the former Boca Raton financial advisor misrepresented and sold unsuitable investments in “highly complex, variable interest rate structured products.” He has been suspended from associating with any broker, dealer, or investment advisor… Read More »
Brad Hansen: $160K Complaint Against Southern Cross Advisor
Salem, Ohio financial advisor Brad Hansen (CRD# 5872439) has received an investor complaint alleging his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Southern Cross Wealth Management.
John Bussa: Southfield Advisor Has Oil & Gas Complaint
Lincoln Financial Advisors Corporation representative John Bussa (CRD# 4418922) has received multiple investor complaints alleging his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Southfield, Michigan.
Bill LeBeouf: FINRA Suspends Ex-Merrill Lynch Advisor
Former Cetera Advisors broker Bill LeBeouf (CRD# 2464080) was recently sanctioned over allegations he engaged in improper private securities transactions and outside business activities. According to Financial Industry Regulatory Authority and Securities and Exchange Commission records, the former Beavercreek, Ohio representative is currently registered as an investment advisor with Alternativ Wealth in Dayton, Ohio.
Frank Stuart: Oil & Gas Complaint Against Precision Financial Advisor
Frank Stuart (CRD# 4417262), a financial advisor based in Manalapan, New Jersey, has received multiple investor complaints. Financial Industry Regulatory Authority records show that he is a broker with LPL Financial and an investment advisor with Integrated Wealth Concepts, doing business as Precision Financial Services. He was formerly registered with Lincoln Financial Advisors Corporation.
Blake Fellows: Investor Complaint Against Fellows Financial Advisor
Leesburg, Virginia financial advisor Blake Fellows (CRD# 4374810) has received an investor complaint alleging his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker with LPL Financial, doing business as Fellows Financial Group and Fellows Advisory.
Philip Marchese: FINRA Suspends Ex-Spartan Capital Advisor
New York City financial advisor Philip Marchese (CRD# 5905008) excessively traded customer accounts, according to a recent regulatory action suspending him from acting as a broker. Financial Industry Regulatory Authority records show that he was a broker with Spartan Capital Securities until his suspension commenced earlier this year, and that he has previously been… Read More »
