Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Joey Cason: 100K REIT Complaint Against Parable Financial Advisor
Joey Cason (CRD# 2455720), a financial advisor based in Brunswick, Georgia, has received investor complaints alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors, doing business as Parable Financial Network.
Michael Sloan: REIT Complaint Against St. Charles Advisor
Wintrust Investments broker and investment advisor Michael Sloan (CRD# 2178871) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is based in St. Charles and Elgin, Illinois.
Rick Shaw: $100K REIT Complaint Against Lincoln Financial Advisor
Rick Shaw (CRD# 1870018), a financial advisor in Scottsdale, Arizona, has received investor complaints alleging he sold unsuitable oil and gas investments. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Lincoln Financial Advisors.
John Whalen: $1mm Complaint Against Wealth Strategies Group Advisor
Honolulu financial advisor John Whalen (CRD# 1900188) allegedly recommended unsuitable investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Commonwealth Financial Network, doing business as Wealth Strategies Group.
Mark Just: Investor Complaints Against Indianapolis Advisor
The Just Company financial advisor Mark Just (CRD# 1138738) allegedly recommended unsuitable alternative investments, according to investor complaints against him. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Indianapolis representative was formerly a broker with Triad Advisors and has been sanctioned by FINRA.
Carl Gill: $100K Investor Complaint Against Asset Preservation Advisor
Troy, Michigan financial advisor Carl Gill (CRD# 1076361) has received investor complaints alleging fraud, negligence, and other forms of misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with Asset Preservation Capital and was formerly a broker with United Planners’ Financial Services of America.
Colin Kelty: $1.4 Million Complaint Against Oakbrook Cetera Advisor
Colin Kelty (CRD# 5859007), a financial advisor in Oakbrook, Illinois, has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Cetera Investment Services.
Joseph Todaro: Churning Complaints Against Ex-Worden Advisor
Investor complaints against Hauppage, New York financial advisor Joseph Todaro (CRD# 5708585) allege he engaged in unauthorized trading and churning, among other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with Network 1 Financial Securities, having previously been registered with SW Financial and Worden Capital Management.
Dana Timchenko: $500K Options Complaint Against Cornelius Advisor
Morgan Stanley broker and investment advisor Dana Timchenko has received an investor complaint alleging half a million dollars in damages. Financial Industry Regulatory Authority records show that she is a representative based in Cornelius, North Carolina, having previously been registered with UBS Financial Services.
Michael Restagno: 150K REIT Complaint Against Aegis Advisor
Aegis Capital broker Michael Restagno (CRD# 5532695) has received pending investor complaints alleging his investment recommendations resulted in damages. Financial Industry Regulatory Authority records show that he is based in Garden City, New York and was formerly registered with National Securities Corporation in Mineola, New York.
