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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Christopher Passero: GPB Capital Complaint Against Hurricane Rep
A recent enforcement action against Money Concepts Capital Corporation stockbroker Christopher Passero (CRD# 2517681) suspended him over alleged unauthorized payments to customers to compensate them for investment losses. Financial Industry Regulatory Authority records show that he is registered with the firm’s office in Hurricane, West Virginia. The president of the Passero Financial Group, he… Read More »
Joseph Turner: Annuity Allegations Against Ministry Partners Rep
A denied investor complaint against Brea, California broker Joseph Turner (CRD# 2077052) alleged more than $350,000 in damages. Financial Industry Regulatory Authority records show that Mr. Turner is a broker and investment adviser registered with Ministry Partners Securities in Brea and Fresno, California, as well as in Elgin, Illinois.
Bradley Bergdahl: $225K REIT Complaint Against Cando, North Dakota Rep
Cetera Advisor Networks representative Bradley Bergdahl (CRD# 1432349) recently received an investor complaint alleging six-figure losses following an unsuitable recommendation. Financial Industry Regulatory Authority records show that Mr. Bergdahl is affiliated as a broker and investment advisor with the firm’s offices in Cando, Grand Forks, Munich, Cavalier, and Fargo, North Dakota.
Dan Fair: Roanoke Rep Complaint Settled for $250K
Davenport & Company Dan Fair (CRD# 722195) was recently named respondent in an investor complaint that reached a six-figure settlement. Financial Industry Regulatory Authority records show that Mr. Fair is a broker and investment advisor affiliated with the firm’s office in Roanoke, Virginia.
Alfred Czerniewski: $285K Complaint Against Crivitz, Green Bay Rep
Pending investor complaints against FSC Securities Corporation broker Alfred Czerniewski (CRD# 1675035) allege hundreds of thousands of dollars in losses. Financial Industry Regulatory Authority records show that Mr. Czerniewski is a broker and investment adviser in Crivitz, Green Bay, and Brookfield, Wisconsin.
$1 Million Investor Complaint Against Edward Jones Rep Jim Bowdish
Raleigh stockbroker Jim Bowdish (CRD 3123554) allegedly caused at least $1 million in losses, according to a pending investor complaint against him. Financial Industry Regulatory Authority (FINRA) records show that he is a representative of Edward Jones who has previously received customer complaints that were denied by his member firm.
Tri-Star’s Mark Rothstein Has $100,000 REIT Complaint
Tri-Star Financial stockbroker Mark Rothstein (CRD# 1084659), whose firm offers securities through Independent Financial Group, has received a pending investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is based in El Segundo, California.
Eugene Garner: $650K Complaint Against David Lerner Rep
Lawrenceville, New Jersey stockbroker Eugene Garner (CRD# 4892619) has received an investor complaint alleging more than half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker affiliated with David Lerner Associates and an investment adviser affiliated with Spirit of America Management Corporation.
$500,000 Investor Complaint Against League City Rep Robert Kasten
Securities America stockbroker Robert Kasten (CRD# 1009160) recently received an investor complaint alleging $500,000 in damages. Financial Industry Regulatory Authority records show that he is a stockbroker based in League City, Texas, and an investment adviser affiliated with Robertson Wealth Management in Houston, Texas.
John Orlando: FINRA Alleges Churning by SW Financial Rep
Melbourne Beach, Florida broker John Orlando (CRD# 2002197) was recently named in a Financial Industry Regulatory Authority complaint alleging he churned and excessively traded in a customer account. FINRA records show that the SW Financial representative has a pending investor complaint seeking $1.2 million and damages, as well as a complaint that concluded with… Read More »
