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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Brian Lee: Oil & Gas Complaint Against Lee Wealth Management Advisor
Fort Worth, Texas financial advisor Brian Lee (CRD# 2950037) recently received an investor complaint alleging his investment advice resulted in high commissions and fees. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Lee Wealth Management Group, and that he resigned from… Read More »
Toddy & Associates’ Jim Toddy: $231K GWG L Bond Complaint
Scottsdale, Arizona financial advisor Jim Toddy (CRD# 2636687) allegedly recommended an unsuitable investment, according to an investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Center Street Securities, doing business as Toddy & Associates.
Pittsburgh Financial Group Advisor Andrew Pravlik: $300K Complaint
Pittsburgh financial advisor Andrew Pravlik (CRD# 2360456) 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 an investment advisor with World Capital Brokerage, doing business as Pittsburgh Financial Group.
Gary Ginsberg: Complaints Against Former Royal Alliance Advisor
Gary Ginsberg (CRD# 1175258), a financial advisor based in West Orange, New Jersey, has received investor complaints alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Royal Alliance Associates.
Rodger Sprouse: Titan Advisor Has Future Income Payments Complaints
Lee’s Summit, Missouri financial advisor Rodger Sprouse (CRD# 5483578) has received multiple investor complaints, several of which relate to investments in Future Income Payments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Titan Securities, doing business as Sprouse Financial Group.
Jon Vinge: $373K GWG L Bond Complaint Against Seattle Advisor
A recent investor complaint Intervest International Securities Corporation financial advisor Jon Vinge (CRD# 4445831) alleges he engaged in various forms of misconduct, resulting in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Seattle, Washington.
John Ulwick: Oil & Gas Complaint Against Integrated Wealth Advisor
Waltham, Massachusetts financial advisor John Ulwick (CRD# 1758865) has received an investor complaint detailing allegations concerning an oil and gas investment. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with LPL Financial and Integrated Wealth Concepts, doing business as Integrated Financial Partners. He was formerly a representative of… Read More »
Edward Sokolowski: $200K Complaint Against Pioneer Valley Advisor
Ludlow, Massachusetts financial advisor Edward Sokolowski (CRD# 2221001) has received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Pioneer Valley Financial Group, offering securities and advisory services through Commonwealth Financial Network.
Ingram Financial’s Donna Seymour Receives Investor Complaint
Winter Haven, Florida financial advisor Donna Seymour (CRD# 1714302) has received an investor complaint alleging her investment advice resulted in five-figure damages. Financial Industry Regulatory Authority records show that she is a representative of Ingram Financial Group and is registered as a broker with Centaurus Financial.
FINRA Bars Former Wells Fargo Advisor Adam Marquardt
The Financial Industry Regulatory Authority (FINRA) recently barred Adam Marquardt (CRD# 5307192), a financial advisor based in Greenwood Village, Colorado. FINRA records show that the former Cetera Advisors broker was sanctioned in relation to allegations he made unauthorized deposits into client accounts.
