A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Jonathan Blount: LPL Advisor Receives $192K ETF Complaint
Rustin, Louisiana financial advisor Jonathan Blount (CRD# 5700831) allegedly misrepresented 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 LPL Financial, doing business as Blount Financial Stewards.
Daniel Zlotnick: Suitability Complaint Against Ex-Kestra Advisor
A recent investor complaint against Melville, New York financial advisor Daniel Zlotnick (CRD# 1177472) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Osaic Wealth broker is currently registered as an investment advisor with OneDigital.
TJ Kroehle: Suitability Complaint Against Ex-Kestra Advisor
Addison, Texas financial advisor TJ Kroehle (CRD# 4388363) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, doing business as Income By Design.
Brad Katzer: Lake Financial Advisor Faced Trading Complaint
A recent, denied investor complaint against Port Washington, Wisconsin financial advisor Brad Katzer (CRD# 6627091) alleged that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Lake Financial.
Michael Sullivan: Options Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Mateo, California financial advisor Michael Sullivan (CRD# 6546863) 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 Morgan Stanley.
Kevin Wright: $1mm Complaint Against Rockefeller Advisor
Houston, Texas financial advisor Kevin Wright (CRD# 6344931) has received multiple investor complaints alleging that his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Rockefeller Financial and Rockefeller Capital, respectively.
Trevor Uhls: FINRA Bars Former MML Advisor
Former Lee’s Summit, Ohio professional Trevor Uhls (CRD# 6872250) has been sanctioned and barred by the Financial Industry Regulatory Authority in connection with alleged rule violations. FINRA records show that he is a former associated person of MML Investors Service no longer registered with a FINRA member firm.
Jordan Grangard: RBC, Ex-UBS Advisor Faces Improper Trading Complaint
Las Vegas financial advisor Jordan Grangard (CRD# 6097246) allegedly failed to follow client instructions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets, whose website shows that he is Managing Director of the Grangard Private Wealth… Read More »
Bob Reese: $500K Complaint Against Ex-Secure Capital Advisor
Charlotte, North Carolina financial advisor Bob Reese (CRD# 5880465) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and the founder of Aditum Group.
Ben Carmona: $200K Complaint Against Perch Wealth Advisor
San Juan, Capistrano financial advisor Ben Carmona (CRD# 5120428) allegedly violated industry rules, according to a recent six-figure investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, doing business as Perch Wealth.
