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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White Plains Advisor Hugh Dunn: $325k Investor Complaint
White Plains financial advisor Hugh Dunn (CRD# 2219252) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Rockwell Financial Group, registered in both White Plains and Hicksville, New York.
Berthel Fisher’s Jeff Pridey Has $136K Investment Complaint
Twin Falls, Idaho financial advisor Jeff Pridey (CRD# 2136022) allegedly recommended unsuitable alternative investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Berthel Fisher & Company, doing business as Peak Financial Services.
Kurt Baldry: Suitability Complaints Against Ostego Financial Advisor
Ausdal Financial Partners financial advisor Kurt Baldry (CRD# 1568930) has received an investor complaint alleging damages of nearly $1 million. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Ostego, Minnesota.
Academy Financial’s Rob Eisenberg Has $225K Oil & Gas Complaint
Vienna, Virginia financial advisor Rob Eisenberg (CRD# 1539655) has received an investor complaint alleging his oil and gas investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is a representative of Academy Financial, which offers securities through Lincoln Financial Advisors.
Thomas Povinelli: $275K Complaint Against Royal Alliance Advisor
Thomas Povinelli (CRD# 1326492), a financial advisor based in Old Greenwich, Connecticut, has received investor complaints alleging he recommended unsuitable investments. According to Financial Industry Regulatory Authority records, he is a broker and investment advisor with Royal Alliance Associates.
$220K Investor Complaint Against McDonough Advisor Peter Dorn
An investor complaint against Cape Securities financial advisor Peter Dorn (CRD# 1089858) alleges that he recommended unsuitable speculative investments. Financial Industry Regulatory Authority records show that he is a broker based in McDonough, Georgia, having previously been registered with Wall Street Strategies in West Des Moines, Iowa.
Walter Howard: $300K REIT Complaint Against Naples IFG Advisor
Independent Financial Group advisor Walter Howard (CRD# 717601), also known as Charles Howard, has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that Mr. Howard is a broker registered with IFG in Naples, Florida.
Sam Sutterfield: $100K Complaint Against Modern Wealth Advisor
Tucson financial advisor Sam Sutterfield (CRD# 5988560) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Centaurus Financial, doing business as Modern Wealth Management.
Austin Mastro: $11 Million Investor Complaint Against Mineola Advisor
Joseph Stone Capital broker Austin Mastro (CRD# 6323031) has received an investor complaint alleging more than $11 million in damages. Financial Industry Regulatory Authority records show that he is registered in Mineola, New York, and was previously a representative of Worden Capital Management.
Team Duncan’s Amy L. Duncan: $1.3mm Investor Complaint
Denver financial advisor Amy L. Duncan (CRD# 4193765) has received an investor complaint alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that she is a representative of Moloney Financial Services, doing business as Team Duncan Financial.
