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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Keith Chandler: Complaint Against Palmdale Rep Alleges $203K Losses
Ex-Ameriprise Investment Services representative Keith Chandler (CRD# 2351638) allegedly made unsuitable investment recommendations, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he was formerly registered with Ameriprise in Palmdale, California. He is presently registered as an investment adviser with Inspire Advisors in Palmdale.
Jeffrey Payne: Centennial Rep Has Private Placement Complaint
Jeffrey Payne (CRD# 5102488), an LPL Financial representative, is involved in an investor dispute alleging he made unsuitable investment recommendations. According to the Financial Industry Regulatory Authority, he is a stockbroker located in Centennial and Pueblo, Colorado. He is also registered as an investment adviser with GPS Wealth Strategies in Centennial.
Phillip Anderson: Kingswood Rep Has $250,000 Complaint
Roseville, California stockbroker Phillip Anderson (CRD# 814936) has received pending investor complaints alleging his investment advice caused losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Kingswood Capital Partners in Roseville. He is also registered as an investment adviser with Resurgent Financial Advisors and Hayden Royal.
Newbridge’s John Donoso: Complaint Alleges $250,000 Damages
Elizabeth, New Jersey-based stockbroker John Donoso (CRD# 4533488) has received a pending investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as an investment adviser with Newbridge Financial Services in Elizabeth, New Jersey and as a broker with Newbridge Securities Corporation in Boca Raton, Florida.
June Hung: Did Independent Financial Advisor Cause 6-Figure Losses?
June Hung (CRD# 4752296), a stockbroker and investment adviser in Diamond Bar and San Gabriel, California, is involved in an investor complaint alleging her investment recommendations led to substantial losses. Financial Industry Regulatory Authority records show that she is a registered representative of Independent Financial Group.
Chuck Cox: $800,000 Complaint Against Raymond James Rep
Raymond James Financial Services stockbroker Chuck Cox (CRD# 2283909) has received an investor dispute alleging his actions resulted in six-figure damages. Financial Industry Regulatory Authority records show that the Federal Way, Washington-based representative has also received an investor dispute that reached a six-figure settlement.
Marc Korsch: 6-Figure Complaints Against Barred Ex-Centaurus Rep
Marc Korsch (CRD# 5525226), a stockbroker previously located in Sarasota, Florida, alleged recommended unsuitable investments that led to millions of dollars in damages for his customers. Financial Industry Regulatory Authority records show that the former representative of Arkadios Capital and Centaurus Financial was also sanctioned by FINRA and barred from acting as a broker… Read More »
Ben Belanger: Austin Rep Has 6-Figure REIT Complaint
Kestra Investment Services stockbroker Ben Belanger (CRD# 5293459) allegedly recommended unsuitable non-traded real estate investment trusts, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is registered with the firm’s office in Austin, Texas.
Victorville Rep Susan Cruz: REIT Complaints Allege 6-Figure Damages
Infinex Investments stockbroker Susan Cruz (CRD# 2213628) allegedly recommend unsuitable investments, according to customer complaints disclosed to the Financial Industry Regulatory Authority. FINRA records state that she is presently based out of Victorville, California.
Dominic Baldini: Emerson Equity Rep Fined over Mutual Fund Charges
San Mateo stockbroker Dominic Baldini (CRD# 3082081) was recently sanctioned by the Financial Industry Regulatory Authority after the regulator found he failed to reasonably supervise mutual fund trading. Currently a representative of Emerson Equity, he was fined and temporarily suspended from acting in a principal capacity.
