Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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John Loughran: NYC Broker Has Pending Options Overlay Complaint
According to Financial Industry Regulatory Authority (FINRA) records, UBS Financial Services broker and investment adviser John Loughran (CRD# 1884834) has received a pending customer complaint alleging the firm recommended an unsuitable options strategy. Loughran is registered with the firm’s office in New York City.
NYC Rep Mark Zeller: Options Complaint Reached $89K Award
Mark Zeller (CRD# 2263684), a New York City-based broker and investment adviser, has received a customer complaint detailing allegations regarding an options investment strategy offered by his member firm, UBS Financial Services. Financial Industry Regulatory Authority (FINRA) records indicate that a FINRA arbitration panel issued an award to the customer.
Investor Complaint Against UBS’s Christopher Tolman: Options Strategy
Christopher Tolman (CRD# 2066775), a broker and investment adviser based in New York City, has received a pending complaint alleging that an options overlay strategy investment offered by his firm, UBS Financial Services, was unsuitable. The complaint alleges six-figure damages, according to records maintained by the Financial Industry Regulatory Authority (FINRA).
UBS Broker Steven Chille Receives YES Investor Complaints
According to records maintained by the Financial Industry Regulatory Authority, Westport, Connecticut-based UBS Financial Services broker and investment adviser Steven Chille (CRD# 1335887) has received pending customer complaints alleging misconduct surrounding an options strategy offered by his firm. The three complaints settled for more than $700,000.
Options Overlay Complaints Against UBS Rep Michael Sherman
Financial Industry Regulatory Authority (FINRA) records list several customer complaints connected to New York City-based UBS Financial Services broker and adviser Michael Sherman (CRD# 1031880). The complaints detail allegations concerning an options overlay strategy recommended by the firm, and cumulatively settled for more than $700,000.
Janie Garza-Clark: $950K Complaint Against Barred Scottsdale Rep
A sanction against ex-TCFG Wealth Management stockbroker Janie Garza-Clark (CRD# 1010752) barred her from acting as a broker after she allegedly refused to provide testimony regarding her relationship with a former client. Financial Industry Regulatory Authority records show that the former Scottsdale, Arizona-based securities professional has also received a pending investor complaint alleging nearly… Read More »
Red Bank Advisor Stacy Goldsmith: Private Placement Complaints
Pending investor complaints listed on Herbert J. Sims & Company broker Stacy Goldsmith’s BrokerCheck report allege hundreds of thousands of dollars in losses. Financial Industry Regulatory Authority records show that Ms. Goldsmith (CRD# 1416323) is currently based in Red Bank, New Jersey.
Christopher Passero: GPB Capital Complaint Against Hurricane Rep
A recent enforcement action against Money Concepts Capital Corporation stockbroker Christopher Passero (CRD# 2517681) suspended him over alleged unauthorized payments to customers to compensate them for investment losses. Financial Industry Regulatory Authority records show that he is registered with the firm’s office in Hurricane, West Virginia. The president of the Passero Financial Group, he… Read More »
Joseph Turner: Annuity Allegations Against Ministry Partners Rep
A denied investor complaint against Brea, California broker Joseph Turner (CRD# 2077052) alleged more than $350,000 in damages. Financial Industry Regulatory Authority records show that Mr. Turner is a broker and investment adviser registered with Ministry Partners Securities in Brea and Fresno, California, as well as in Elgin, Illinois.
Bradley Bergdahl: $225K REIT Complaint Against Cando, North Dakota Rep
Cetera Advisor Networks representative Bradley Bergdahl (CRD# 1432349) recently received an investor complaint alleging six-figure losses following an unsuitable recommendation. Financial Industry Regulatory Authority records show that Mr. Bergdahl is affiliated as a broker and investment advisor with the firm’s offices in Cando, Grand Forks, Munich, Cavalier, and Fargo, North Dakota.
