Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Academy Financial’s Rob Eisenberg Has $225K Oil & Gas Complaint
Vienna, Virginia financial advisor Rob Eisenberg (CRD# 1539655) has received an investor complaint alleging his oil and gas investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is a representative of Academy Financial, which offers securities through Lincoln Financial Advisors.
Thomas Povinelli: $275K Complaint Against Royal Alliance Advisor
Thomas Povinelli (CRD# 1326492), a financial advisor based in Old Greenwich, Connecticut, has received investor complaints alleging he recommended unsuitable investments. According to Financial Industry Regulatory Authority records, he is a broker and investment advisor with Royal Alliance Associates.
$220K Investor Complaint Against McDonough Advisor Peter Dorn
An investor complaint against Cape Securities financial advisor Peter Dorn (CRD# 1089858) alleges that he recommended unsuitable speculative investments. Financial Industry Regulatory Authority records show that he is a broker based in McDonough, Georgia, having previously been registered with Wall Street Strategies in West Des Moines, Iowa.
Walter Howard: $300K REIT Complaint Against Naples IFG Advisor
Independent Financial Group advisor Walter Howard (CRD# 717601), also known as Charles Howard, has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that Mr. Howard is a broker registered with IFG in Naples, Florida.
Sam Sutterfield: $100K Complaint Against Modern Wealth Advisor
Tucson financial advisor Sam Sutterfield (CRD# 5988560) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Centaurus Financial, doing business as Modern Wealth Management.
Austin Mastro: $11 Million Investor Complaint Against Mineola Advisor
Joseph Stone Capital broker Austin Mastro (CRD# 6323031) has received an investor complaint alleging more than $11 million in damages. Financial Industry Regulatory Authority records show that he is registered in Mineola, New York, and was previously a representative of Worden Capital Management.
Team Duncan’s Amy L. Duncan: $1.3mm Investor Complaint
Denver financial advisor Amy L. Duncan (CRD# 4193765) has received an investor complaint alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that she is a representative of Moloney Financial Services, doing business as Team Duncan Financial.
Justin Connors: $400K Complaint Against Connors Wealth Advisor
Justin Connors (CRD# 2805785), a financial advisor based in Cocoa Beach, Florida, has received a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of IFP Securities, doing business as Connors Wealth Management.
Robert Smith: GPB Complaints Against Peregrine Private Capital Advisor
Newberg, Oregon financial advisor Robert Smith (CRD# 1412333) allegedly sold unsuitable investments in GPB Capital, according to investor complaints against him. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity, doing business as Peregrine Private Capital.
John Marcheso: $1mm Complaint Against Marcheso & Associates Advisor
Coeur D’Alene financial advisor John Marcheso (CRD# 869337) has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority records show that Mr. Marcheso is a representative of Centaurus Financial, doing business as Marcheso & Associates.
