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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William Johnson: $209K REIT Complaint Against Ex-Voya Advisor
Cadaret Grant & Co. financial advisor William Johnson (CRD# 3174473) has received numerous investor complaints alleging he recommended unsuitable investments, resulting in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Greenville, South Carolina, where he was formerly registered with Voya Financial Advisors.
Darrin Cohen: $400K Investor Complaint Against Triad Advisor
Alpharetta, Georgia financial advisor Darrin Cohen (CRD# 2488435) has received an investor complaint alleging his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors and an investment advisor with Wealth Enhancement & Preservation.
GPB Capital Complaints Against Ex-Kalos Advisor David Lademan
Former Okemos, Michigan financial advisor David Lademan (CRD# 2479077) has received investor complaints concerning investments in GPB Capital. Financial Industry Regulatory Authority records show that Mr. Lademan is not presently registered as a broker or an investment adviser, having previously been registered with LPL Financial, doing business as Credent Wealth Management.
Joey Cason: 100K REIT Complaint Against Parable Financial Advisor
Joey Cason (CRD# 2455720), a financial advisor based in Brunswick, Georgia, has received investor complaints alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors, doing business as Parable Financial Network.
Michael Sloan: REIT Complaint Against St. Charles Advisor
Wintrust Investments broker and investment advisor Michael Sloan (CRD# 2178871) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is based in St. Charles and Elgin, Illinois.
Rick Shaw: $100K REIT Complaint Against Lincoln Financial Advisor
Rick Shaw (CRD# 1870018), a financial advisor in Scottsdale, Arizona, has received investor complaints alleging he sold unsuitable oil and gas investments. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Lincoln Financial Advisors.
John Whalen: $1mm Complaint Against Wealth Strategies Group Advisor
Honolulu financial advisor John Whalen (CRD# 1900188) allegedly recommended unsuitable investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Commonwealth Financial Network, doing business as Wealth Strategies Group.
Mark Just: Investor Complaints Against Indianapolis Advisor
The Just Company financial advisor Mark Just (CRD# 1138738) allegedly recommended unsuitable alternative investments, according to investor complaints against him. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Indianapolis representative was formerly a broker with Triad Advisors and has been sanctioned by FINRA.
Carl Gill: $100K Investor Complaint Against Asset Preservation Advisor
Troy, Michigan financial advisor Carl Gill (CRD# 1076361) has received investor complaints alleging fraud, negligence, and other forms of misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with Asset Preservation Capital and was formerly a broker with United Planners’ Financial Services of America.
Colin Kelty: $1.4 Million Complaint Against Oakbrook Cetera Advisor
Colin Kelty (CRD# 5859007), a financial advisor in Oakbrook, Illinois, has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Cetera Investment Services.
