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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Lanny Howarter: $1MM Complaint Against Crown Capital Rep
San Diego, California-based broker and investment adviser Lanny Howarter (CRD# 813591) has received a pending investor complaint alleging losses of $1.12 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Howarter is currently a registered representative of Crown Capital Securities. Lanny Howarter’s FINRA-maintained BrokerCheck report lists a total of six customer… Read More »
Darryl Cohen: $5MM Complaint Against Ex-Westlake Village Rep
Former Morgan Stanley broker and investment adviser Darryl Cohen (CRD# 2786613) has received a pending investor complaint alleging his investment recommendations led to $5 million in losses. According to Financial Industry Regulatory Authority (FINRA) records, Cohen was most recently registered with the firm’s branch office in Westlake Village, California. Darryl Cohen’s FINRA-maintained BrokerCheck report… Read More »
John Nguyen: 7-Figure Complaint Against Crown Capital Rep
Placentia, California-based broker and investment adviser John Nguyen (CRD# 4919629) has received a pending investor complaint alleging losses of $1 million to $5 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Nguyen is currently a registered representative of Crown Capital Securities. John Nguyen’s FINRA-maintained BrokerCheck report lists a single pending… Read More »
Jason Tarver: $5 Million Complaint Against Merrill Lynch Rep
Frisco, Texas-based broker and investment adviser Jason Tarver (CRD#: 2569913) has received a pending customer complaint alleging that he caused $5 million in damages for the investor. According to records provided by the Financial Industry Regulatory Authority (FINRA), Tarver is currently a representative of Merrill Lynch. Jason Tarver’s BrokerCheck report lists one pending customer… Read More »
Scott Kemps: Great Point Capital Rep Has GPB Funds Complaint
A pending investor complaint against Melbourne, Florida and Chicago, Illinois broker and investment adviser Scott Kemps (CRD# 1849069) alleges he recommended an unsuitable investment in GPB Funds. According to Financial Industry Regulatory Authority (FINRA) records, Kemps is currently registered with Great Point Capital LLC. Scott Kemp’s BrokerCheck report lists a total of two pending… Read More »
Walter Valenzuela: Kestra Rep Has Several Investor Complaints
Walter Valenzuela (CRD# 2280224), a broker and investment adviser in San Diego, California, has received several investor complaints in recent years. According to records provided by the Financial Industry Regulatory Authority (FINRA), Valenzuela is currently registered with Kestra Investment Services. Walter Valenzuela’s BrokerCheck report lists a total of 13 disclosures, including settled, pending, denied… Read More »
Florence Capital’s Greg Hersch Allegedly Caused $1MM Losses
New York City broker and investment adviser Greg Hersch (CRD# 3254629) is the recipient of a $1.4 million pending investor complaint alleging he engaged in multiple forms of misconduct, records maintained by the Financial Industry Regulatory Authority (FINRA) show. Hersch is currently a representative of Old City Securities and Florence Capital Advisors in New… Read More »
Ray Ferro: Investor Complaints Against Woodbury Broker
Former Danbury, Connecticut-based broker and investment adviser Ray Ferro (CRD# 1927831) has received multiple settled or pending customer complaints, including one that reached a settlement of $1.5 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Ferro was most recently registered with Woodbury Financial Services. Ray Ferro’s FINRA-maintained BrokerCheck report lists… Read More »
William May: $1 Million Complaint Against Morgan Stanley Rep
A pending customer complaint against Alpharetta, Georgia-based broker and investment adviser William May (CRD#: 1254424) seeks more than $1 million in damages. According to Financial Industry Regulatory Authority (FINRA) records, May is currently a registered representative with Morgan Stanley and has no other customer complaints listed on his disclosure form. Filed in February 2021,… Read More »
Steve Berrocal: Northstar Complaints Against Truist Rep
Coral Gables, Florida-based broker and investment adviser Steve Berrocal (CRD#: 3071400) has received several pending customer complaints alleging he recommended unsuitable investments that resulted in six-figure losses to investors. According to records provided by the Financial Industry Regulatory Authority (FINRA), Berrocal is currently a representative of Truist Investment Services. Steve Berrocal’s BrokerCheck report lists… Read More »
