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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REIT Complaint Against McFarlin Capital’s Hunter McFarlin
Murfreesboro, Tennessee financial advisor Hunter McFarlin (CRD# 2838151) has received an investor complaint alleging almost $1 million in damages. Financial Industry Regulatory Authorities show that the broker and investment adviser is a representative of McFarlin Capital, offering securities through Arkadios Capital.
Michael Rosalia: $1.6 Million Complaint Against Ex-Worden Advisor
Pending investor complaints against SW Financial broker Michael Rosalia (CRD# 2323953) allege more than $1 million in damages. Financial Industry Regulatory Authority records show that he is registered in Melville, New York, and used to be a representative of Worden Capital Management in Garden City, New York.
Peter Reinecke: $10mm Investor Complaint Against St. Louis Advisor
St. Louis broker and financial advisor Peter Reinecke (CRD# 2085940) has received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Saxony Securities and Saxony Capital Management.
Thomas Diamante: FINRA Investigates SW Financial Advisor
The Financial Industry Regulatory Authority is investigating Melville, New York broker Thomas Diamante (CRD# 1645257). FINRA records show that the SW Financial representative allegedly made misrepresentations and engaged in fraud, though he denies the allegations.
Alvery Bartlett: $10 Million Complaint Against Clayton Advisor
A pending investor complaint against Clayton, Missouri broker Alvery Bartlett (CRD# 13975) seeks $10 million in damages. Financial Industry Regulatory Authority records show that the Aegis Capital representative has previously received investor complaints that reached settlements.
Daniel Mann: GPB Complaint Against Cornerstone Wealth Advisor
Daniel Mann (CRD# 4592568), a broker and financial advisor in Las Vegas, has received a pending investor complaint alleging his actions caused six-figure losses. Financial Industry Regulatory Authority records show that he is a representative of Independent Financial Group, doing business as Cornerstone Wealth Management.
Robert McNamara: Cadaret Grant Advisor Sanctioned for Discretion Use
Albany broker Robert McNamara (CRD# 1207495) has twice been sanctioned by the Financial Industry Regulatory Authority in relation to findings that he exercised discretion without proper authorization. FINRA records show that he is a representative of Cadaret Grant & Company and was recently issued a 30-day suspension from acting as a broker.
Ameriprise Advisor Mark Lott Under Investigation by Everspire
Mark Lott (CRD# 5015817), a broker and financial advisor in Sandy, Utah, resigned from his former broker-dealer firm amidst allegations of policy violations. Financial Industry Regulatory Authority records show that he is now a representative of Ameriprise Financial Services.
Chad Barancyk: $1.8mm in Complaints Against Great Point Capital Rep
Chicago broker Chad Barancyk (CRD# 4921433) has received eight pending investor complaints alleging his recommendations caused almost $2 million in losses. Financial Industry Regulatory Authority records show that he is a representative of Great Point Capital and was formerly a representative of First Allied Securities.
Ken Daley: $100K REIT Complaint Against Allstate Advisor
Allstate Financial Services representative Ken Daley (CRD# 1774653) allegedly committed fraud relating to the sale of a non-traded real estate investment trust (REIT), according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is based in Boynton Beach, Florida.
