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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John Broughton: $160K Complaint Against Ex-Cetera, LPL Advisor
A recent investor complaint against former Citizens Securities and Cetera Investment Services advisor John Broughton (CRD# 2362478) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or an investment adviser, though he was most recently based in Johnston, Rhode Island and… Read More »
Michael Corrada: 500K Bond Complaint Against Richmond Advisor
A recent investor complaint against former Center Street Securities financial advisor Michael Corrada (CRD# 709158) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or an investment advisor, and that he was most recently based in Richmond, Virginia.
Ex-Laidlaw Advisor Ken Abbas Receives Equities Complaint
Ken Abbas (CRD# 5722935), a financial advisor based in Hauppage, New York, has received investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker registered with Network 1 Financial Securities, having previously been registered with Laidlaw & Company.
Kevin McGregor: $5 Million Complaint Against Avantax Advisor
An investor complaint against Concord, California financial advisor Kevin McGregor (CRD# 2540872) alleges that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Avantax Investment Services.
Ken New: GWG Complaint Against Pinnacle Wealth Advisor
Merritt Island, Florida financial advisor Ken New (CRD# 2836918) allegedly recommended an unsuitable investment in GWG L bonds, according to a new investor complaint against him. Financial Industry Regulatory Authority records show that he is registered as a broker and investment advisor with Center Street Securities. He is the owner of Pinnacle Financial Wealth… Read More »
Sean Sullivan: Why Did Aegis Capital Fire Garden City Advisor?
Aegis Capital recently fired financial advisor Sean Sullivan (CRD# 6283466) in relation to allegations of unauthorized trading. Financial Industry Regulatory Authority records show that the Garden City, New York broker is currently registered with Spartan Capital Securities and has received several investor complaints.
Michael Ohlemacher: FINRA Suspends Ex-W&S Brokerage Services Advisor
The Financial Industry Regulatory Authority suspended Maumee, Ohio financial advisor Michael Ohlemacher (CRD# 5759091) in connection to findings of misconduct. FINRA and Securities and Exchange Commission records show that he was most recently registered as a broker with W&S Brokerage Services and as an investment advisor with Sequent Planning.
Ryan Fleming: REIT Complaint Against Pacific Capital Advisor
Bellevue financial advisor Ryan Fleming (CRD# 4378425) has received investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Pacific Capital Resource Group, offering securities and advisory services through Royal Alliance Associates.
Shomir Mukherjee: $100K Complaint Against Westlake Village Advisor
An investor complaint against Western International Securities financial advisor Shomir Mukherjee (CRD# 4121898) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Westlake Village, California.
Zvi Feldman: $800K Complaint Against Former Leumi Advisor
Aventura, Florida financial advisor Zvi Feldman (CRD# 5316260) has received an investor complaint alleging his investment recommendations resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with 1818 Private Client Services and was formerly a broker with Leumi Investment Services, though he… Read More »
