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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Westlake Village Broker Thomas Swan Under SEC Investigation
The US Securities and Exchange Commission is investigating Westlake Village, California stockbroker Thomas Swan (CRD# 1698430) over alleged violations of federal securities laws. According to Financial Industry Regulatory Authority records, the Western International Securities representative has also received an investor complaint alleging he made negligent misrepresentations.
New Investor Complaints Against Sunrise Investment’s Celia Zhang
Investor complaints against San Gabriel stockbroker Celia Zhang (CRD# 5918387) allege that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered with Independent Financial Group, doing business as Sunrise Investment Capital. She is also known as Hui Zhang.
Christopher McCaffrey: $15mm Options Complaint Against Napa Rep
A pending investor complaint against Morgan Stanley representative Christopher McCaffrey (CRD# 2735236) alleges his recommendations led to $15 million in damages. Financial Industry Regulatory Authority records show that he is a broker and financial advisor based in Napa, California.
Brandon Stalcup: Little Rock Rep Allegedly Made Unauthorized Trades
Former Little Rock, Arkansas stockbroker Brandon Stalcup (CRD# 4024498) recently received an investor complaint that reached settlement. Financial Industry Regulatory Authority records show that the ex-Veritas Independent Partners representative is no longer registered as a broker, though he is a financial advisor affiliated with The Cabana Group.
Churning Complaint Against NYC Rep Joseph DeSapio
Spartan Capital Securities representative Joseph DeSapio (CRD# 5837553) allegedly churned investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a stockbroker registered with the firm’s office in New York, New York.
George James: Suitability Complaint Against Southwest Wealth Strategies Rep
Equitable Advisors representative George James (CRD# 2668465) recently received an investor complaint alleging losses following an unsuitable recommendation. Financial Industry Regulatory Authority records show that Mr. James is affiliated as a broker and investment advisor with the firm’s offices in Scottsdale, Arizona, and does business as Southwest Wealth Strategies.
Kim Monchik: Spartan Rep Allegedly Failed to Disclose Complaints
New York City stockbroker Kim Monchik (CRD# 2528972) has received a pending investor complaint alleging her conduct resulted in losses. Financial Industry Regulatory Authority records show that the Spartan Capital Securities representative is also a respondent in a pending enforcement action alleging she failed to adequately disclose sales practice violations.
Robert Turner: Did Ex-UBS Rep Run “Bogus” Investment Scheme?
Ex-Waco, Texas stockbroker Robert Turner (CRD# 2113736) allegedly defrauded his clients and stole their money, according to pending investor complaints against him. Financial Industry Regulatory Authority records show that the former Stifel Nicolaus & Company and UBS Financial Services representative resigned from Stifel Nicolaus last year over “concerns” regarding outside investments.
George Apollo: 6-Figure Churning Complaint Against Garden City Rep
Spartan Capital Securities representative George Apollo (CRD# 3101928) recently received a pending investor complaint alleging six-figure losses connected to churning and unauthorized trading. Financial Industry Regulatory Authority records show that Mr. Apollo is affiliated as a broker with the firm’s offices in Garden City, New York.
Sonia Atkiss: $10mm Options Overlay Allegations Against UBS Broker
According to Financial Industry Regulatory Authority (FINRA) records, UBS Financial Services broker and investment adviser Sonia Atkiss (CRD# 2936806) has received several pending investor complaints. The complaints involving Atkiss, who is registered with UBS’s offices in New York City, cumulatively allege more than $10 million in damages. One of the most recent complaints listed… Read More »
