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 Phillips: Oil Investment Complaints Against RBC Broker
Stamford, Connecticut-based broker and investment adviser Christopher Phillips (CRD# 4761544) has received a pending investor complaint alleging his actions resulted in losses. According to records provided by the Financial Industry Regulatory Authority (FINRA), Phillips is currently registered with RBC Capital Markets. Christopher Phillips’s FINRA-maintained BrokerCheck report lists a total of one denied investor complaint… Read More »
Michael Vetere: $1MM Complaint Against Ex-Bayside Rep
Former Aegis Capital Corp. broker and investment adviser Michael Vetere (CRD# 4275271) has received a pending customer complaint alleging his investment recommendations resulted in $1 million in losses. According to Financial Industry Regulatory Authority (FINRA) records, Vetere was most recently registered with the firm’s branch office in Bayside, New York. Michael Vetere’s FINRA-maintained BrokerCheck… Read More »
Andre Davis: Ex-Paulson Broker Has $5MM Pending Complaint
According to digital records maintained by the Financial Industry Regulatory Authority (FINRA), former New York City broker Andrew Davis (CRD# 1417097) has received numerous pending customer complaints, including one alleging damages of $5 million. Davis was most recently a representative of Paulson Investment Company; before that he was a representative of First Standard Financial… Read More »
Jay Sheth: $2.5MM Complaint Against National Securities Rep
Jay Sheth (CRD# 4656009), a broker and investment adviser located in New York City, has received a pending customer complaint alleging damages exceeding $2 million. According to Financial Industry Regulatory Authority (FINRA) records, Sheth is currently registered with National Securities corporation. Jay Sheth’s BrokerCheck report lists one pending investor complaint against him. Filed in… Read More »
Leonard McAbee: $1.3MM Complaint Against National Securities Rep
Former Lombard, Illinois broker Leonard McAbee (CRD#: 2066347) recently received a pending customer complaint alleging his investments recommendations resulted in seven-figure losses. According to records provided by the Financial Industry Regulatory Authority (FINRA), McAbee was most recently registered with National Securities Corporation. Leonard McAbee’s BrokerCheck report currently lists five settled investor complaints and one… Read More »
Debra Bourne: New Complaint Against Red Bank Advisor
Financial Industry Regulatory Authority (FINRA) records show that former First Standard Financial Company broker Debra Bourne (CRD# 1352344) has an investor complaint alleging damages of $2 million. Bourne was most recently based in Red Bank, New Jersey. Debra Bourne’s BrokerCheck report lists a total of three pending investor complaints and two settled investor complaints… Read More »
Craig Sherrer: $1.5MM Complaint Against Janney Broker
Garden City, New York broker and investment adviser Craig Sherrer (CRD# 5972142) has received a pending investor complaint alleging damages of more than $1 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Sherrer is currently registered with Janney Montgomery Scott’s Garden City and Riverhead offices. According to Craig Sherrer’s FINRA-maintained… Read More »
Paul Koch: Complaint Against RBC Rep Settled for $3.75MM
Wayzata, Minnesota broker and investment adviser Paul Koch (CRD# 1777599) has received an investor complaint that recently settled for a sum exceeding $3 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Koch is currently registered with RBC Capital Markets. According to Paul Koch’s FINRA-maintained BrokerCheck report, a complaint filed in… Read More »
Ed Turley: $23MM Complaint Against JP Morgan Rep
San Francisco broker and investment adviser Ed Turley (CRD# 1872294) has received pending investor complaints alleging cumulative damages of more than $40 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Turley is currently registered with JP Morgan Securities. Ed Turley’s FINRA-maintained BrokerCheck report lists a total of four pending investor… Read More »
Barry Horowitz: $1.2MM Complaint Against Ex-Lincoln Rep
Former Glastonbury, Connecticut broker Barry Horowitz (CRD#: 2651525), who is currently registered as an investment adviser with Financial Resources Group in Glastonbury, has settled or pending customer complaints alleging millions of dollars in damages. Financial Industry Regulatory Authority (FINRA) records show that Horowitz was most recently registered as a broker with Lincoln Financial Securities… Read More »
