A recent investor complaint against Cedar Rapids, Iowa financial advisor Randy Snook (CRD# 2878437) alleges that he violated industry rules,...
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Douglas Behnfield: $4.2mm Complaint Against Morgan Stanley Advisor
Boulder, Colorado financial advisor Douglas Behnfield (CRD# 840887) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Chris Angelino: Misrepresentation Complaint Against Merrill Advisor
A recent investor complaint against Huntersville, North Carolina financial advisor Chris Angelino (CRD# 2685937) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Robin Cantore: Cetera Advisor Lands $100K-$500K Complaint
New Orleans, Louisiana financial advisor Robin Cantore (CRD# 2584058) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisers.
Sanjay Chandra: Private Placement Complaint Against TPEG Advisor
A recent investor complaint against Southlake, Texas financial advisor Sanjay Chandra (CRD# 5512809) alleges that his conduct violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities and an investment advisor with Trinity Investors.
John Sweeden: Cetera Advisor Receives Forgery Complaint
Richardson, Texas financial advisor John Sweeden (CRD# 1662776) recently received an investor complaint alleging forgery and other misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers.
Michael Principato: JP Morgan Advisor Faces $1 Billion Complaint
A recent investor complaint against Staten Island, New York financial advisor Michael Principato (CRD# 5237609) alleges that his conduct resulted in 10-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
William Sandeman: FINRA Bars Ex-Wedbush Advisor
Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Wedbush Securities and that he has received multiple investor complaints.
Philip Pike: $300K Complaint Against Herbert J. Sims Advisor
Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Herbert J. Sims.
Timothy Walsh: Xenith Advisor Sanctioned over Solaredge Strategy
Fort Worth, Texas financial advisor Timothy Walsh (CRD# 4666856) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was last registered as a broker with Fortune Financial Services.
Andrew Adderly: SEC Investigates Broad Street Capital Advisor
Holmdel, New Jersey financial advisor Andrew Adderly (CRD# 4388648) is under investigation by the Securities and Exchange Commission in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Broad Street Capital Markets.
