Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreRecent Blog Posts
Joseph Todaro: Churning Complaints Against Ex-Worden Advisor
Investor complaints against Hauppage, New York financial advisor Joseph Todaro (CRD# 5708585) allege he engaged in unauthorized trading and churning, among other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with Network 1 Financial Securities, having previously been registered with SW Financial and Worden Capital Management.
Dana Timchenko: $500K Options Complaint Against Cornelius Advisor
Morgan Stanley broker and investment advisor Dana Timchenko has received an investor complaint alleging half a million dollars in damages. Financial Industry Regulatory Authority records show that she is a representative based in Cornelius, North Carolina, having previously been registered with UBS Financial Services.
Michael Restagno: 150K REIT Complaint Against Aegis Advisor
Aegis Capital broker Michael Restagno (CRD# 5532695) has received pending investor complaints alleging his investment recommendations resulted in damages. Financial Industry Regulatory Authority records show that he is based in Garden City, New York and was formerly registered with National Securities Corporation in Mineola, New York.
Nanticoke Advisor Brent Makarczyk: Watermark Lodging REIT Complaint
Ameriprise Financial Services broker and investment advisor Brent Makarczyk (CRD# 4278893) has received investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is based in Nanticoke, Pennsylvania.
Nigel James: FINRA Investigated Former Joseph Stone Advisor
Mineola, New York broker Nigel James (CRD# 4490687) has received a pending investor complaint alleging unauthorized conduct. Financial Industry Regulatory Authority records show that the VCS Venture Securities representative has been investigated by FINRA, which recommended disciplinary action against him.
Paul Kim: $1.7 Million Investor Complaint Denied by Stifel Nicolaus
San Jose broker and investment advisor Paul Kim (CRD# 4219593) recently received an investor complaint alleging nearly $2 million in damages. Financial Industry Regulatory Authority records show that he is a representative of Stifel Nicolaus & Company and was fired from his previous position at Morgan Stanley.
Chris Polinaire: FINRA Investigated Hauppage Financial Advisor
The Financial Industry Regulatory Authority has investigated allegedly unsuitable trading by Network 1 Financial Securities broker Chris Polinaire (CRD# 4330879). FINRA records show that Mr. Polinaire is based in Hauppage, New York, and has previously been registered with firms including Arive Capital Markets and First Standard Financial.
Cove Capital’s Keith D’Agostino: $400K Private Placement Complaint
Keith D’Agostino (CRD# 2837860), an Aegis Capital broker, has received investor complaints alleging breach of fiduciary duty, fraud, and other forms of misconduct. Financial Industry Regulatory Authority records show that he is based in Melville, New York, and also operates as the founder of Cove Capital Partners.
Michael Haupt: $696K Complaint Against TradeZero Advisor
A pending investor complaint against Brooklyn broker Michael Haupt (CRD# 2865821) alleges nearly $700,000 in damages. Financial Industry Regulatory Authority records show that he is a representative of TradeZero, having previously been registered with firms including Arive Capital Markets and Vision Brokerage Services.
Godfrey Investment Group’s Jack Godfrey Has Investor Complaints
Zeeland, Michigan broker and investment advisor Jack Godfrey (CRD# 2928652) has received investor complaints alleging he engaged in misconduct. Financial Industry Regulatory Authority records show that he is a representative of LPL Financial, doing business as Godfrey Investment Group.
