A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
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Shaun Freeman: Morgan Stanley Advisor Receives Complaint
Morristown, New Jersey financial advisor Shaun Freeman (CRD# 2779691) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Vincent Pereira: $375K Complaint Against Alexander Capital Advisor
Red Bank, New Jersey financial advisor Vincent Pereira (CRD# 2933058) allegedly violated securities law, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital.
Brett Weichbrod: $500K-$1mm Complaint Against Ex-SagePoint Advisor
Santa Barbara, California financial advisor Brett Weichbrod (CRD# 4595377) recently received an investor complaint alleging that his conduct resulted in six- to seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former SagePoint Financial broker is currently registered as an investment advisor with Channel Wealth.
Scot Benefiel: $1mm Complaint Against Merrill Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor Scot Benefiel (CRD# 1968666) alleges that his advice resulted in million-dollar damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Angela Fettik & Alex Intriago: Advisors Face $10mm Complaint
A recent investor complaint against Jacksonville, Florida financial advisors Alex Intriago (CRD# 6333662) and Angela Fettik (CRD# 4710729) alleges that they recommended an unsuitable investment. Financial Industry Regulatory Authority records show that each is registered as a broker and an investment advisor with Wells Fargo.
Kim Tran: FINRA Suspends Ex-NYLife Advisor
Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with NYLife Securities.
Brandon Mink: Why Was Advisor Fired by Spire Securities?
Oakton, Virginia financial advisor Brandon Mink (CRD# 2599782) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Spire Securities representative is currently registered as a broker with Purshe Kaplan Sterling.
Mohammad Ali: $229K Complaint Against JP Morgan Advisor
Cleveland, Ohio financial advisor Mohammad Ali (CRD# 7762070) recently received an investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
Mike Frost: $899K Complaint Against Ex-LPL Advisor
Colorado Springs, Colorado financial advisor Mike Frost (CRD# 2000358) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Advisors, doing business as Frost Financial Group.
Russell Trumm: $400K Complaint Against Fox Hill Advisor
A recent investor complaint against Roseville, California financial advisor Russell Trumm (CRD# 4496967) alleged that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Fox Hill Financial.
