Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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Jonathan Keller: $250K Complaint Against 1031 Solutions Advisor
Recent investor complaints against Atlanta, Georgia financial advisor Jonathan Keller (CRD# 4344114) allege that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, doing business as 1031 Solutions.
Steve Giannantonio: Suitability Complaint Against Aegis Advisor
Recent investor complaints against New York City financial advisor Steve Giannantonio (CRD# 2309181) allege that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital.
Ronan Cox: Ex-Morgan Stanley Advisor Received Complaint
New York City financial advisor Ronan Cox (CRD# 2693480) allegedly recommended an unsuitable investment, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Arete Wealth Management and an investment advisor with Arete Wealth Advisors, doing business as Fincadia.
Michael Barrows: $250K GWG Complaint Against Ex-Chalice Advisor
A recent investor complaint against Charlotte, North Carolina financial advisor Michael Barrows (CRD# 2933260) alleged that he recommended unsuitable GWG L Bond investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and an investment advisor with IP Financial Advisory Services.
Jim Groves: $1.5mm Complaint Against Raleigh Capital Advisor
Cary, North Carolina financial advisor Jim Groves (CRD# 1657245) recently received an investor complaint alleging that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former PNC Investments broker is currently registered as an investment advisor with Raleigh Capital Management, doing business… Read More »
Scott Offerman: Ex-TCFG Advisor Faces 7-Figure Complaint
New York City financial advisor Scott Offerman (CRD# 4619093) allegedly recommended unsuitable Delaware Statutory Trust (DST) investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with 1031 Securities, doing business as 1031 Financial.
Allen Stevens: Stifel Advisor Received $200K Complaint
A recent, denied investor complaint against Denver, Colorado financial advisor Allen Stevens (CRD# 1804469) alleged 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 Stifel Nicolaus & Company.
Alex Rabinovich: $3mm Complaint Against Forge Securities Advisor
A recent investor complaint against San Francisco, California financial advisor Alex Rabinovich (CRD# 7065371) alleges that his investment advice resulted in damages of more than $3 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Forge Securities.
Bob Anderson: $2.4mm Complaint Against Penbrook Advisor
New York City financial advisor Bob Anderson (CRD# 5516) recently received an investor complaint alleging that his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Beech Hill Securities and an investment advisor with Penbrook Management.
Roger Ingwerson: $565K Complaint Against Ex-Harvest Group Advisor
Waltham, Massachusetts financial advisor Roger Ingwerson (CRD# 255050) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
