Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Merrill Lynch’s William Keeney: Complaints Settled for 6-Figures
Newton, Massachusetts stockbroker William Keeney (CRD# 3082733) has received investor complaints that reached six-figure settlements. Financial Industry Regulatory Authority records show that he has been registered with Merrill Lynch as a broker and an investment adviser since 2009.
Daniel Loy: $1 Million Investor Complaint Against Milpitas Rep
LTK Wealth Management’s Daniel Loy (CRD# 3029654) has received pending investor complaints alleging more than $1 million in damages. Financial Industry Regulatory Authority records show that he is registered with the Independent Financial Group branch in Milpitas, California as a broker and as an investment adviser. The most recent investor complaint disclosed on Mr…. Read More »
Jamie Frawley: $64mm Complaint Against Santa Monica LPL Rep
LPL Financial’s Jamie Frawley (CRD# 2867752) has received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority (FINRA) records show that he is registered as a broker in Santa Monica, California and Oklahoma City, Oklahoma. He is registered as an investment adviser with Westside Investment Management in Santa Monica.
Ex-Joseph Gunnar Rep Matt Gates Has Investment Complaints
VCS Investments broker Matt Gates (CRD# 4727945) has received investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is located in New York, New York, and was recently terminated from his previous position at Joseph Gunnar & Company.
Daniel Byrne: 6-Figure REIT Complaint Against Santa Rosa Rep
LPL Financial representative Daniel Byrne (CRD# 2606471) allegedly recommended unsuitable investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a stockbroker and investment adviser registered with LPL Financial in Santa Rosa, California.
Westlake Village Rep Christina Orta: Alternative Investment Complaint
Cambridge Investment Research representative Christina Orta (CRD# 3278327) has received a pending investor complaint alleging several forms of misconduct. Financial Industry Regulatory Authority records show that she is a stockbroker and investment adviser based in Westlake Village, Walnut Village, Oakland, and Pasadena, California. She is also registered as an investment adviser with Cooper McManus.
Darin Arnell: Mutual Fund Complaint Settled for 6 Figures
An investor complaint against Murray, Utah stockbroker Darin Arnell (CRD# 4673735) settled for six figures. Financial Industry Regulatory Authority records show that Mr. Arnell is registered as a broker and investment adviser with Cetera Advisor Networks, though he has been previously been registered with Goldman Sachs. He is also registered with Cetera’s offices in… Read More »
Keith Chandler: Complaint Against Palmdale Rep Alleges $203K Losses
Ex-Ameriprise Investment Services representative Keith Chandler (CRD# 2351638) allegedly made unsuitable investment recommendations, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he was formerly registered with Ameriprise in Palmdale, California. He is presently registered as an investment adviser with Inspire Advisors in Palmdale.
Jeffrey Payne: Centennial Rep Has Private Placement Complaint
Jeffrey Payne (CRD# 5102488), an LPL Financial representative, is involved in an investor dispute alleging he made unsuitable investment recommendations. According to the Financial Industry Regulatory Authority, he is a stockbroker located in Centennial and Pueblo, Colorado. He is also registered as an investment adviser with GPS Wealth Strategies in Centennial.
Phillip Anderson: Kingswood Rep Has $250,000 Complaint
Roseville, California stockbroker Phillip Anderson (CRD# 814936) has received pending investor complaints alleging his investment advice caused losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Kingswood Capital Partners in Roseville. He is also registered as an investment adviser with Resurgent Financial Advisors and Hayden Royal.
