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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Blake Thompson: $229K Complaint Against Irvine UBS Advisor
A pending investor complaint against UBS Financial Services advisor Blake Thompson (CRD# 6219056) alleges he caused “huge losses” in a customer’s account. Financial Industry Regulatory Authority records show that the broker and investment advisor is based in Irvine, California.
Lefranc Joseph: Energy 11 Complaint Against David Lerner Advisor
Lawrenceville, New Jersey financial advisor Lefranc Joseph (CRD# 6092379) is involved in an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with David Lerner Associates.
EFG Capital’s Kenia Rocha Receives Options Complaint
Kenia Rocha (CRD# 5629596), a financial advisor based in Miami, recently received an investor complaint that reached a six-figure settlement. Financial Industry Regulatory Authority records show that she is a broker and investment adviser with EFG Capital International and EFG Asset Management, respectively.
New Options Complaint Against EFG Capital’s Eduardo Da Cruz
Miami financial advisor Eduardo Da Cruz (CRD# 5578693) was recently involved in an investor complaint that settled for $600,000. Financial Industry Regulatory Authority records show that he is a broker with EFG Capital International, where he serves as Head of Client Solutions.
Legacy Financial’s Christopher Gordon Has Oil and Gas Complaints
Two investor complaints against Annapolis financial advisor Christopher Gordon (CRD# 5714224) allege that he sold unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Cambridge Investment Research, doing business as Legacy Financial.
Darrin James: Why Was James & Sons Advisor Fired?
Lubbock financial advisor Darrin James (CRD# 4719616) was recently fired by his former member firm, Raymond James Financial Services, over alleged policy violations. Financial Industry Regulatory Authority records show that he is now a broker and investment advisor with LPL Financial, doing business as James & Sons Wealth Management.
Bill Poulter: $100,000 REIT Complaint Against LPL Advisor
Baton Rouge financial advisor Bill Poulter (CRD# 3248404) has received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with LPL Financial, doing business as Poulter Investment Advisors.
Jeff Somerstein: Investor Complaint Against Equitable Advisors Broker
Montclair, New Jersey financial advisor Jeff Somerstein (CRD# 4690840) allegedly recommended unsuitable investments, according to an investor complaint. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Equitable Advisors.
Mark Sonntag: GWG L Bond Complaint Against Fort Myers Advisor
National Securities Corporation advisor Mark Sonntag (CRD# 1939350) has received an investor complaint concerning an investment in GWG L bond. Financial Industry Regulatory Authority records show that he is a broker and investment advisor in Fort Myers, Florida.
Eugene Weinstein: $1mm Investor Complaint Against Plano Advisor
An investor complaint against Ameriprise Financial Services advisor Eugene Weinstein (CRD# 5441968) alleges $1 million in damages. Financial Industry Regulatory Authority records show that the broker and investment advisor is based in Plano, Texas.
