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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Jon Paul Cirelli: Concorde Broker Has $2.5 Million Complaint
Jupiter, Florida-based broker and investment adviser Jon Paul Cirelli (CRD# 4729737) has received a pending customer complaint alleging his actions led to losses of $2.5 million, as well as other customer complaints. According to records provided by the Financial Industry Regulatory Authority (FINRA) Cirelli is currently a registered representative of Concorde Investment Services. Jon… Read More »
Adam Stowell: $1 Million Complaint Against Morgan Stanley Rep
Alpharetta, Georgia-based broker and investment adviser Adam Stowell (CRD# 5889607) has received a pending customer complaint alleging seven-figure losses. According to records provided by the Financial Industry Regulatory Authority (FINRA) Stowell is currently a registered representative of Morgan Stanley. Adam Stowell’s FINRA-maintained BrokerCheck report lists a single pending customer complaint against him. Filed in… Read More »
Todd Bauman: Ameriprise Rep Gets $1.4 Million ETF Complaint
Todd Bauman (CRD# 2631144), a broker and investment adviser in Deerfield, Illinois, has received a pending customer complaint alleging damages that exceed $1 million. Financial Industry Regulatory Authority (FINRA) records show that Bauman is a registered representative of Ameriprise Financial Services, and that he has also received a customer complaint that reached settlement. Todd… Read More »
Charles Blatz: $1.5MM Complaint Against Red Bank Rep
Charles Blatz (CRD# 706158), a broker and investment adviser registered with Benjamin F. Edwards & Company recently received a pending customer complaint alleging losses of more than $1 million. Blatz is currently based in Red Bank, New Jersey and has several other customer complaints listed in records provided by the Financial Industry Regulatory Authority… Read More »
Peter Ianace: Ex-Wells Fargo Rep Has $18 Million Complaint
Former Plano, Texas broker and investment adviser Peter Ianace (CRD#: 3238078) has received pending customer complaints in the last several years, including one alleging damages of $18 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Ianace was most recently registered with Wells Fargo Clearing Services, though he was barred in… Read More »
Bob Elmo: $1.3 Million Complaint Against NYC UBS Broker
New York City-based UBS Financial Services broker and investment adviser Bob Elmo (CRD#: 200601) has received a pending customer complaint seeking damages of more than $1 million, according to records provided by the Financial Industry Regulatory Authority (FINRA). The complaint alleges in part that Elmo recommended unsuitable products. Bob Elmo’s BrokerCheck report lists one… Read More »
Stamford Broker Joseph Chu: $1.6 Million Complaint
Financial Industry Regulatory Authority (FINRA) records show that RBC Capital Markets broker and investment adviser Joseph Chu (CRD# 4546805) recently received several denied or pending customer complaints in recent years, including one that alleges damages of $1.6 million. Chu is based in Stamford, Connecticut.
Daniel Lerner: Energy 11 Complaints Against White Plains Rep
Daniel Lerner (CRD# 1255769), a broker located in White Plains, New York, is the recipient of numerous closed, denied, or pending customer complaints. As a representative of David Lerner Associates, according to records provided by the Financial Industry Regulatory Authority (FINRA), Lerner allegedly misrepresented material facts, violated his fiduciary obligation to his customers, and… Read More »
Dennis Haywood: REIT Complaints Against Crown Capital Broker
Dennis Haywood (CRD# 5850275), a broker and investment adviser based in Land O’ Lakes, Florida, has received settled and pending customer complaints alleging losses of as much as $330,000. According to records provided by the Financial Industry Regulatory Authority (FINRA), these complaints allege the Crown Capital Securities representative recommended unsuitable investments and made misrepresentations… Read More »
Ronnie Metcalf: $5 Million Complaint Against Voya Broker
Ronnie Metcalf (CRD# 1280602), a broker and investment adviser located in Greenville, South Carolina, has received several settled or pending customer complaints alleging misconduct. According to Financial Industry Regulatory Authority (FINRA) records, the complaints concern, among other things, allegations that he failed to supervise other representatives at his longtime member firm, Voya Financial Advisors…. Read More »
