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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Jody Young: $1 Million Complaint Against Atlanta Financial Advisor
ACG Wealth financial advisor Jody Young (CRD# 4068656) has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arkadios Capital representative, currently based in Atlanta, is not registered as a broker.
Merrill Lynch Fired Joseph Szal over Allegedly Unauthorized Trades
Ex-Merrill Lynch stockbroker Joseph Szal (CRD# 2216245) allegedly executed unauthorized trades, according to digital records maintained by the Financial Industry Regulatory Authority. Formerly a representative of Merrill Lynch in Newport Beach, California, he is not presently registered as a stockbroker, though he is affiliated with Tempus Wealth Planning as an investment advisor in Irvine,… Read More »
Lowry Bayley: $500K Investor Complaint Against Indianapolis Advisor
Sanctuary Securities representative Lowry Bayley (CRD# 15409) has received an investor complaint alleging half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and financial advisor based in Indianapolis, Indiana, where he used to be registered with David A. Noyes & Company.
Herbert Messick: $100K Complaint Against Quantum Econometrics Broker
Whittier, California broker and financial advisor Herbert Messick (CRD# 332656) allegedly breached his fiduciary duty to a customer, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of Quantum Econometrics, offering securities through Cetera Advisor Networks.
$100K REIT Complaint Against Peak Financial’s Kenneth Beber
San Dimas, California broker and financial advisor Kenneth Beber (CRD# 4257664) allegedly recommended an unsuitable investment, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of Peak Financial, offering securities through Independent Financial Group.
Donovan Kelly: DTK Financial Advisor Suspended over Oil & Gas Notes
Donovan Kelly (CRD# 2622366), a broker and financial advisor in Billings, Montana, has been sanctioned and suspended over findings of securities industry rule violations. Financial Industry Regulatory Authority records show that he is a representative of Independent Financial Group, doing business as DTK Financial Services.
Rita Mansour: Private Placement Complaints Against Toledo Advisor
A pending investor complaint against Toledo financial advisor Rita Mansour (CRD# 1968418) alleges she recommended an unsuitable private placement. Financial Industry Regulatory Authority records show that she is a representative of Mansour Wealth Management at McDonald Partners.
Denver Advisor Peter Egan: $3.5 Million Complaint Denied by Firm
Denver broker Peter Egan (CRD# 2884105) received an investor complaint alleging more than $3 million in damages. Financial Industry Regulatory Authority records show that he is a representative of Northwestern Mutual Investment Services, while his firm’s website shows that he is a representative of Northwestern office Sparks Financial Services.
Shane McMillan: GPB Complaint Against Englewood Arete Advisor
Shane McMillan (CRD# 5126963), a broker and investment adviser in Englewood, Colorado, has received investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a representative of Arete Wealth Management.
GPB Complaint Against Las Vegas Advisor Kyle Kirwan
Las Vegas and Henderson broker and investment advisor Kyle Kirwan (CRD# 5088691) recently received an investor complaint alleging six-figure damages relating to an investment in GPB Holdings. Financial Industry Regulatory Authority records show that he is a representative of Cornerstone Wealth Management, offering securities through Independent Financial Group.
