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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Oil & Gas Complaint Against Rockland Advisor Christopher Cavallaro
Christopher Cavallaro (CRD# 2125009), a broker and investment advisor in Rockland, Massachusetts, has received a pending investor complaint concerning an oil and gas investment. Financial Industry Regulatory Authority (FINRA) records show that Cavallaro is a representative of LPL Financial, doing business as Integrated Financial Partners.
Ned Lubell: West Palm Beach Advisor Has Suitability Complaint
UBS Financial Services representative Ned Lubell (CRD# 2449026) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a stockbroker and investment advisor based in West Palm Beach, Florida.
Deerfield Beach Rep Mark Bushkin Allegedly Made Unauthorized Trades
Deerfield Beach, Florida broker and financial advisor Mark Bushkin (CRD# 2051696) recently received an investor complaint that settled for more than $50,000, according to Financial Industry Regulatory Authority records. He is a representative of Bushkin Financial Services, which offers securities through Avantax Investment Services.
$376K Complaint Against SW Financial Advisor Richard Reynolds
SW Financial representative Richard Reynolds (CRD# 2162706) has recently received investor complaints alleging his actions resulted in losses. Financial Industry Regulatory Authority records show that he is based in Melville, New York and was formerly affiliated with Worden Capital Management in Garden City, New York.
Ann Vanderslice: $250K Complaint Against Federal Benefits Rep
Ann Vanderslice (CRD# 5057784), a broker based in Lakewood, Colorado, has received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that she is a representative of Federal Benefits Made Simple, an E.A. Buck Company, which offers securities through Madison Avenue Securities.
Thomas Murray: $300K Complaint Against Wells Fargo Rep
Thomas Murray (CRD# 1186933), a broker and financial advisor based in Pasadena, recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of Wells Fargo Clearing Services.
C. Chance Carson: $300K L-Bond Complaint Against Colorado Springs Rep
Colorado Springs broker and financial advisor C. Chance Carson (CRD# 41892), who was recently sanctioned by the Securities and Exchange Commission, has received a pending investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of Intervest International Equities Corporation, doing business as C. Chance Carson and Associates.
Ex-WeathForge Rep Matt McFarland: NP Skyloft Complaint
Former WealthForge Securities representative Matt McFarland’s BrokerCheck report (CRD# 6675310) lists pending investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that the Torrance, California broker is now registered with FNEX Capital.
ProShares Complaint Against Larson Financial’s Jonathan Krueger
Jonathan Krueger (CRD# 4416059), a broker and financial advisor based in St. Louis, has received a pending investor complaint alleging misconduct. Financial Industry Regulatory Authority records show that he is a representative of Larson Financial Group and LionsGate Advisors.
New Complaint Against Brian Visconti, Fired Raymond James Broker
A pending investor complaint alleges former Raymond James & Associates representative Brian Visconti (CRD# 5851551) made improper investment recommendations. Financial Industry Regulatory Authority records show that the Tampa, Florida broker and financial advisor is now registered with The Jeffrey Matthews Financial Group
