Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Brandon Stalcup: Little Rock Rep Allegedly Made Unauthorized Trades
Former Little Rock, Arkansas stockbroker Brandon Stalcup (CRD# 4024498) recently received an investor complaint that reached settlement. Financial Industry Regulatory Authority records show that the ex-Veritas Independent Partners representative is no longer registered as a broker, though he is a financial advisor affiliated with The Cabana Group.
Churning Complaint Against NYC Rep Joseph DeSapio
Spartan Capital Securities representative Joseph DeSapio (CRD# 5837553) allegedly churned investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a stockbroker registered with the firm’s office in New York, New York.
George James: Suitability Complaint Against Southwest Wealth Strategies Rep
Equitable Advisors representative George James (CRD# 2668465) recently received an investor complaint alleging losses following an unsuitable recommendation. Financial Industry Regulatory Authority records show that Mr. James is affiliated as a broker and investment advisor with the firm’s offices in Scottsdale, Arizona, and does business as Southwest Wealth Strategies.
Kim Monchik: Spartan Rep Allegedly Failed to Disclose Complaints
New York City stockbroker Kim Monchik (CRD# 2528972) has received a pending investor complaint alleging her conduct resulted in losses. Financial Industry Regulatory Authority records show that the Spartan Capital Securities representative is also a respondent in a pending enforcement action alleging she failed to adequately disclose sales practice violations.
Robert Turner: Did Ex-UBS Rep Run “Bogus” Investment Scheme?
Ex-Waco, Texas stockbroker Robert Turner (CRD# 2113736) allegedly defrauded his clients and stole their money, according to pending investor complaints against him. Financial Industry Regulatory Authority records show that the former Stifel Nicolaus & Company and UBS Financial Services representative resigned from Stifel Nicolaus last year over “concerns” regarding outside investments.
George Apollo: 6-Figure Churning Complaint Against Garden City Rep
Spartan Capital Securities representative George Apollo (CRD# 3101928) recently received a pending investor complaint alleging six-figure losses connected to churning and unauthorized trading. Financial Industry Regulatory Authority records show that Mr. Apollo is affiliated as a broker with the firm’s offices in Garden City, New York.
Sonia Atkiss: $10mm Options Overlay Allegations Against UBS Broker
According to Financial Industry Regulatory Authority (FINRA) records, UBS Financial Services broker and investment adviser Sonia Atkiss (CRD# 2936806) has received several pending investor complaints. The complaints involving Atkiss, who is registered with UBS’s offices in New York City, cumulatively allege more than $10 million in damages. One of the most recent complaints listed… Read More »
UBS Rep Scott Rosenberg: Multiple Options Overlay Complaints
Scott Rosenberg (CRD# 2754292), a broker and investment adviser based in New York, New York, has received more than a dozen investor complaints, according to records maintained by the Financial Industry Regulatory Authority. While many of the complaints concerning UBS’s Yield Enhancement Strategy are pending, one recently settled for more than $1 million in… Read More »
Matthew Buchsbaum: Multiple Options Complaints Against UBS Rep
New York City and Stamford-based UBS Financial Services representative Matthew Buchsbaum (CRD# 2220565) has received numerous customer complaints alleging he made misrepresentations and unsuitable recommendations connected to an options overlay strategy offered by the firm. The complaints cumulatively allege more than $1.2 billion in damages, according to publicly available records maintained by the Financial… Read More »
Gerard Costello: Options Strategy Complaints Against NYC Broker
Gerard Costello (CRD# 1551511), a broker and investment adviser registered with UBS Financial Services, has received several pending complaints involving recommendations that customers invest in an options overlay strategy offered by UBS. A representative of the firm’s office in New York, New York, the pending complaints allege more than $1 billion in damages.
