Philadelphia, Pennsylvania financial advisor Gary Harlap (CRD# 3125590) allegedly improperly concentrated a customer’s investments, according to a recent investor complaint....
Read MoreRecent Blog Posts
Byron Strong: Ex-Woodbury Advisor Lands $835K Complaint
Florissant, Missouri financial advisor Byron Strong (CRD# 4651640) recently received an investor complaint alleging that his conduct resulted in damages exceeding $800,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Cambridge Investment Research, having previously been registered with Woodbury Financial Services.
Paul Addo: $316K Complaint Against UBS, Ex-Merrill Advisor
A recent investor complaint against Denver, Colorado financial advisor Paul Addo (CRD# 5422664) alleges that he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Timothy Yee: Green Retirement Advisor Faces $126K Complaint
Alameda, California financial advisor Timothy Yee (CRD# 2492578) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Green Retirement.
Chris Dibari: PNC Advisor Receives $384K Annuity Complaint
Milford, Ohio financial advisor Chris Dibari (CRD# 3012315) allegedly recommended unsuitable 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 PNC Investments.
Darden Livesay: $682K Complaint Against Morgan Stanley Advisor
Stamford, Connecticut financial advisor Darden Livesay (CRD# 1311042) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Reza Zafari: Merrill Advisor Lands $2 Million Complaint
Los Angeles financial advisor Reza Zafari (CRD# 1332633) allegedly provided unsuitable advice, according to a recent, seven-figure investment complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Parviz Pourfarid: $160K Bond Complaint Against WIS Advisor
A recent investor complaint against Pasadena, California financial advisor Parviz Pourfarid (CRD# 2112613) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities.
Sarah Robinson: Supreme Alliance Advisor Fired by Avantax
Brewster, Massachusetts financial advisor Sarah Robinson (CRD# 4443947) was recently terminated by Avantax Investment Services in connection with an alleged rule violation. Financial Industry Regulatory Authority records show that she is now registered as a broker with Supreme Alliance.
Michael Ginestro: $2.4mm Complaint Against Merrill Lynch Advisor
Los Angeles financial advisor Michael Ginestro (CRD# 2468911) recently received an investor complaint alleging that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch. Mr. Ginestro’s BrokerCheck report discloses one investor complaint. Filed… Read More »
Dan Schapiro: $50K Complaint Against Dominari, Ex-Aegis Advisor
New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, doing business as Gotham Equities. He was previously registered with Aegis Capital.
