Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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$5 Million Complaint Against Ex-Voya Broker Jim Flynn
Former Greenville, South Carolina broker and investment advisor Jim Flynn (CRD#: 3082615) has received dozens of settled or pending investor complaints, some alleging damages in the six or seven figures. Flynn was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in 2018. Before that, FINRA records show he was a… Read More »
Eric Weschke: 6-Figure Investor Complaints Against Kalos Rep
Setauket, New York-based broker and investment adviser Eric Weschke (CRD# 2486324) has received several pending investor complaints in recent years, including some alleging six-figure losses. According to records provided by the Financial Industry Regulatory Authority (FINRA) Weschke is currently a registered representative of Kalos Capital. Eric Weschke’s FINRA-maintained BrokerCheck report lists a total of… Read More »
Dan Dillard: Nest Adviser Allegedly Caused $1.5MM Loss
A pending investor complaint against Austin, Texas investment adviser Dan Dillard (CRD# 4289333) alleges losses of $1.5 million. According to Financial Industry Regulatory Authority (FINRA) records, Dillard is currently not registered as a broker, though he was most recently registered with Union Capital Company and SagePoint Financial in Austin, Texas. Records maintained by the… Read More »
Investor Files Complaint Against Ex-Madison Ave Advisor Jeffrey Dixson
Numerous investors have filed complaints alleging that former Vancouver, Washington broker and investment adviser Jeffrey Dixson (CRD# 4166311) recommended unsuitable investments in products including GPB Automotive. According to records provided by the Financial Industry Regulatory Authority (FINRA), Dixson was formerly registered with Madison Avenue Securities. Jeffrey Dixson’s FINRA-maintained BrokerCheck report lists nine pending customer… Read More »
Michael Shillin: SpaceX Complaints Against Ex-Altoona Rep
Investors allege that former Altoona, Wisconsin broker and investment adviser Michael Shillin (CRD# 5927156) engaged in conduct that resulted in losses of $1 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Shillin was formerly registered with Alliance Global Partners. Michael Shillin’s FINRA-maintained BrokerCheck report lists 31 pending customer complaints and… Read More »
Andrew Burish: $23M Losses Alleged in UBS Rep’s Tesla Recs
UBS Financial Services broker and investment adviser Andrew Burish (CRD# 1111163) has received a pending customer complaint alleging he recommended an unsuitable investment strategy that resulted in losses of $23 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Burish is currently registered with UBS’s branch office in Madison, Wisconsin. Andrew… Read More »
Daniel Raupp: Concorde Rep Involved In $1 Million Complaint
A pending investor complaint against Port Jefferson, New York broker Daniel Raupp (CRD# 4079107) alleges his recommendations resulted in losses of $1 million. According to Financial Industry Regulatory Authority (FINRA) records, Raupp is currently registered with Concorde Investment Services. Daniel Raupp’s BrokerCheck report lists a total of six pending customer complaints against him, all… Read More »
Lanny Howarter: $1MM Complaint Against Crown Capital Rep
San Diego, California-based broker and investment adviser Lanny Howarter (CRD# 813591) has received a pending investor complaint alleging losses of $1.12 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Howarter is currently a registered representative of Crown Capital Securities. Lanny Howarter’s FINRA-maintained BrokerCheck report lists a total of six customer… Read More »
Darryl Cohen: $5MM Complaint Against Ex-Westlake Village Rep
Former Morgan Stanley broker and investment adviser Darryl Cohen (CRD# 2786613) has received a pending investor complaint alleging his investment recommendations led to $5 million in losses. According to Financial Industry Regulatory Authority (FINRA) records, Cohen was most recently registered with the firm’s branch office in Westlake Village, California. Darryl Cohen’s FINRA-maintained BrokerCheck report… Read More »
John Nguyen: 7-Figure Complaint Against Crown Capital Rep
Placentia, California-based broker and investment adviser John Nguyen (CRD# 4919629) has received a pending investor complaint alleging losses of $1 million to $5 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Nguyen is currently a registered representative of Crown Capital Securities. John Nguyen’s FINRA-maintained BrokerCheck report lists a single pending… Read More »
