Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreRecent Blog Posts
Sean Westbrook: 6-Figure Complaints Against Stifel Nicolaus Rep
Sean Westbrook (CRD# 5090374), a stockbroker in Pueblo, Colorado, has received two pending investor complaints alleging he made unsuitable investment recommendations. According to the Financial Industry Regulatory Authority, he is a broker and investment adviser registered with Stifel Nicolaus & Company.
Mark Jensen: LJM Fund Complaints Against Santa Fe Rep
Tembion Capital Management adviser Mark Jensen (CRD# 2748816) has received numerous investor complaints alleging he various forms of misconduct related to investments in LJM Preservation and Growth. According to the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), he is located in Santa Fe, New Mexico, and used to be… Read More »
Dave McNally: Elder Abuse Complaints Against San Antonio Rep
San Antonio stockbroker Dave McNally (CRD# 839798) has received investor complaints alleging various forms of wrongdoing. Financial Industry Regulatory Authority records show that he is a broker and investment adviser with McNally Financial Services Corporation. He is registered with the firm’s offices in San Antonio, Texas; Tallahassee, Florida; and Flint, Michigan.
Merrill Lynch’s William Keeney: Complaints Settled for 6-Figures
Newton, Massachusetts stockbroker William Keeney (CRD# 3082733) has received investor complaints that reached six-figure settlements. Financial Industry Regulatory Authority records show that he has been registered with Merrill Lynch as a broker and an investment adviser since 2009.
Daniel Loy: $1 Million Investor Complaint Against Milpitas Rep
LTK Wealth Management’s Daniel Loy (CRD# 3029654) has received pending investor complaints alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that he is registered with the Independent Financial Group branch in Milpitas, California as a broker and as an investment adviser. The most recent investor complaint disclosed on Mr…. Read More »
Jamie Frawley: $64mm Complaint Against Santa Monica LPL Rep
LPL Financial’s Jamie Frawley (CRD# 2867752) has received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority (FINRA) records show that he is registered as a broker in Santa Monica, California and Oklahoma City, Oklahoma. He is registered as an investment adviser with Westside Investment Management in Santa Monica.
Ex-Joseph Gunnar Rep Matt Gates Has Investment Complaints
VCS Investments broker Matt Gates (CRD# 4727945) has received investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is located in New York, New York, and was recently terminated from his previous position at Joseph Gunnar & Company.
Daniel Byrne: 6-Figure REIT Complaint Against Santa Rosa Rep
LPL Financial representative Daniel Byrne (CRD# 2606471) allegedly recommended unsuitable investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a stockbroker and investment adviser registered with LPL Financial in Santa Rosa, California.
Westlake Village Rep Christina Orta: Alternative Investment Complaint
Cambridge Investment Research representative Christina Orta (CRD# 3278327) has received a pending investor complaint alleging several forms of misconduct. Financial Industry Regulatory Authority records show that she is a stockbroker and investment adviser based in Westlake Village, Walnut Village, Oakland, and Pasadena, California. She is also registered as an investment adviser with Cooper McManus.
Darin Arnell: Mutual Fund Complaint Settled for 6 Figures
An investor complaint against Murray, Utah stockbroker Darin Arnell (CRD# 4673735) settled for six figures. Financial Industry Regulatory Authority records show that Mr. Arnell is registered as a broker and investment adviser with Cetera Advisor Networks, though he has been previously been registered with Goldman Sachs. He is also registered with Cetera’s offices in… Read More »
