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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$1.5 Million Complaint Against White Plains Advisor Chris Kazan
National Securities broker Chris Kazan (CRD# 2966876) has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority records show that the White Plains, New York representative was fired from his previous position at Maxim Group over allegations of policy violations.
Peter Po: REIT Complaint Against Cupertino Advisor
Pending investor complaints against Cupertino broker and investment advisor Peter Po (CRD# 3106974) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a representative of NI Advisors and was fired from his previous position at Voya Financial Advisors.
Michael Greben: Complaints Against Greben Wealth Management Advisor
Owings Mills, Maryland broker Michael Greben (CRD# 2547477) has received investor complaints alleging his actions resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with LPL Financial, doing business as Greben Wealth Management.
Eric Kuchherzki: $300K Complaint Against Burlingame Advisor
Centaurus Financial stockbroker Eric Kuchherzki (CRD# 2529623) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is based in Burlingame, California and resigned from a former broker-dealer firm after allegedly violating internal policies and procedures.
Morgan Stanley’s Craig Thistlewaite Has Options Strategy Complaints
Craig Thistlewaite (CRD# 2507050), a stockbroker in Perrysburg, Ohio, has received investor complaints concerning a stock option trading strategy. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Morgan Stanley, having previously been registered with Citigroup Global Markets and other firms.
Kalos Capital Advisor Eric Weschke: $535K Investment Complaint
Recent investor complaints disclosed on Kalos Capital financial advisor Eric Weschke’s (CRD# 2486324) BrokerCheck report allege hundreds of thousands of dollars in damages. Financial Industry Regulatory Authority records show that he is based in Setauket, New York and has been involved in 17 investor complaints that reached settlements.
Jason Slezak: GWG Complaint Against Antioch Advisor
Landolt Securities broker Jason Slezak (CRD# 2423323) has received an investor complaint concerning investments in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker registered in Antioch, Illinois, with 24 state licenses.
FINRA Investigating Garden City Advisor James Pecoraro
Spartan Capital Securities financial advisor James Pecoraro (CRD# 2440231) is under examination by the Financial Industry Regulatory Authority in relation to allegations of churning and excessive trading. FINRA records show that he is registered as a broker in Garden City, New York.
1st Financial Advisor Heath Goldstein Has GWG, REIT Complaints
Clark’s Summit, Pennsylvania financial advisor Heath Goldstein (CRD# 2147679) allegedly recommended unsuitable GWG L bonds, real estate investment trusts (REITs), oil and gas securities, and other investments, according to investor complaints. Financial Industry Regulatory Authority records show that he is a representative of Western International Securities, doing business as 1st Financial Investments.
Brian C. Kennedy: Oil & Gas Complaints Against KCA Wealth Advisor
Camp Hill, Pennsylvania financial advisor Brian Kennedy (CRD# 2321416) has received investor complaints concerning oil and gas investments. Financial Industry Regulatory Authority records show that he is a broker and investment adviser with Cambridge Investment Research, doing business as KCA Wealth Management.
