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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Keystone Retirement’s Ron Paull: Archbald Advisor Has REIT Complaint
Archbald, Pennsylvania financial advisor Ron Paull (CRD# 2968273) has received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show he is a representative of Cambridge Investment Research, operating as Keystone Retirement Resources, and has previously been sanctioned by securities regulators.
Peter Rhee: $250K AGP Complaint Against Mosaic Private Wealth Advisor
Peter Rhee (CRD# 2326728), a financial advisor in Frankfort, Illinois, has received an investor complaint alleging his unsuitable investment recommendations caused six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with First Allied Securities and an investment advisor with Cetera Investment Advisers, doing business as Mosaic Private Wealth.
REIT Complaint Against Infinity Financial Advisor Dean Nowak
Winter Park, Florida financial advisor Dean Nowak (CRD# 1091819) allegedly recommended an unsuitable real estate investment trust, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation and president of Infinity Financial Network.
Anthony Gallea: Options Complaints Against Pelican Bay Group Advisor
Hendersonville, North Carolina financial advisor Anthony Gallea (CRD# 713980) has received investor complaints relating to an allegedly unsuitable options trading strategy. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Morgan Stanley, whose website shows that he is a member of Pelican Bay Group Wealth Management.
Clark Harris: REIT Complaint Against Titan Wealth Advisor
Bloomfield Hills financial advisor Clark Harris (CRD# 2730928) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Aurora Securities, doing business as Titan Wealth Management. He was formerly registered with Sigma Financial Corporation.
$500K Investor Complaint Against Clearwater Advisor Roof Douglass
Pending investor complaints against Clearwater, Florida financial advisor Roof Douglass (CRD# 1619835) allege he recommended unsuitable investments. Financial Industry Regulatory Authority records show he is a broker with Securities America and the owner of Douglass Investment Services. He is also known as Alan Douglass and was formerly a broker with Investacorp.
Report: Will JPMorgan Clients Lose Money on PIP 15 Investments?
Hedge fund Tiger Global Management has suffered losses of approximately $17 billion this year, reportedly “one of the biggest dollar declines for a hedge fund in history,” according to a May 2022 report by TechCrunch. Its rapid losses have raised questions about its venture capital fund, PIP 15, with experts pondering what the fate… Read More »
Retirement Income Strategies’ Kristian Finfrock: $100K Complaint
Kristian Finfrock (CRD# 5421676), a financial advisor based in Evansville, Wisconsin, recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Kalos Capita and an investment advisor with Retirement Income Strategies.
Scott Brannan: $100K REIT Complaint Against Berthel Fisher Advisor
Bismarck financial advisor Scott Brannan (CRD# 4553880) allegedly recommended unsuitable non-traded real estate investment trusts, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Berthel Fisher & Company Financial Services.
Spartan’s Nicholas Schiano Has 6-Figure Investor Complaints
New York City financial advisor Nicholas Schiano (CRD# 4429212) has received investor complaints alleging his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Spartan Capital Management, having previously been registered with Worden Capital Management.
