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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Pleasanton Advisor Anthony Giuliano Has REIT Complaint
Securities America representative Anthony Giuliano allegedly breached his fiduciary duty, according to an investor complaint against him. Financial Industry Regulatory Authority records show that he is affiliated with the firm’s office in Pleasanton, California as both a broker and an investment adviser.
Ed Maklouf: 6-Figure Investor Complaints Against NYC Advisor
A pending investor complaint against Spartan Capital Securities representative Ed Maklouf (CRD# 6092943) alleges he engaged in unauthorized trading. Financial Industry Regulatory Authority records show that the New York City-based broker has received an earlier complaint alleging six-figure damages, as well as several complaints that reached settlements.
Churning Allegations Against NYC Spartan Advisor Joe Kelly
New York City broker Joe Kelly (CRD# 4560737) allegedly engaged in unauthorized trading and churning, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that the Spartan Capital Securities representative has also received complaints that reached settlements.
Denied REIT Complaint Against Voya Advisor Michael Zahm
Voya Financial Advisors advisor Michael Zahm (CRD# 6381591) allegedly misrepresented an investment, according to an investor complaint that was denied by his member firm. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor in Fishers, Indiana.
Dana Vietor: $2.6 Million Complaint Against Ex-Dallas Advisor
Former CFD Investments representative Dana Vietor (CRD# 873129) has received numerous pending investor complaints alleging millions in damages. Financial Industry Regulatory Authority records show that the former Dallas-based broker has been barred from associating with any broker-dealer firm.
$1mm Complaint Against Asheville Advisor Patrick Chitwood
Chitwood Wealth Management’s Patrick Chitwood allegedly caused $1 million in damages, according to a pending investor complaint. Financial Industry Regulatory Authority Records show that the Asheville, North Carolina broker’s firm offers securities through Triad Advisors.
Suitability Complaint Against Regal Wealth’s Andrew Pincus
Boca Raton and Florham Park broker Andrew Pincus allegedly recommended unsuitable transactions, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of LPL Financial, doing business as Regal Wealth Advisors.
Luis Garcia: Miami Advisor Had Suitability Complaint
Luis Garcia (CRD# 4143376), a Miami broker and financial advisor, recently received an investor complaint that was denied by his member firm. Financial Industry Regulatory Authority records show that he is a representative of Oppenheimer & Company.
Mark Kemp: 6-Figure Complaints Against McNally Financial Advisor
Corpus Christi broker and financial advisor Mark Kemp (CRD# 2057200) has received several pending investor complaints alleging more than half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a representative of McNally Financial Services, doing business as Kemp Financial Services.
Andrew Elsoffer: Beachwood Advisor Suspended by FINRA
The Financial Industry Regulatory Authority recently sanctioned ex-Stifel Nicolaus representative Andrew Elsoffer. FINRA and Securities and Exchange Commission records show that Mr. Elsoffer is a financial advisor with International Assets Advisory Management in Beachwood, Ohio.
