A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Nicholas Buttler: $200K Complaint Against Spartan Advisor
Garden City, New York financial advisor Nicholas Buttler (CRD# 7080008) recently received an investor complaint alleging he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Robert Alegria: Bond Complaint Against Morgan Stanley Advisor
Miami financial advisor Robert Alegria (CRD# 5978340) 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 Morgan Stanley, having previously been registered with RBC Capital Markets.
Janet Gordon: $1.4mm Complaint Against Ex-Morgan Stanley Advisor
A recent investor complaint against Coral Gables, Florida financial advisor Janet Gordon (CRD# 1114409) alleges that her advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James.
David McQuade: High Bluff Advisor Faces Investor Complaint
San Diego, California financial advisor David McQuade (CRD# 3118389) allegedly failed to follow a customer’s 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 LPL Financial, doing business as High Bluff Private Wealth.
Statement Concerning Recent Reports About Our Client, Reshad Jones:
“This is yet another troubling example of a professional athlete being exploited by a wealth management firm he trusted. In this case, the wrongdoer was a Vice President at one of the world’s largest financial institutions—Bank of America’s investment management division, Merrill Lynch. We have filed a lawsuit to hold Merrill Lynch accountable and… Read More »
Kristine Marcum: Merrill Advisor Received Investor Complaint
A recent, denied investor complaint against El Paso, Texas financial advisor Kristine Marcum (CRD# 4274440) alleged that she made misrepresentations of material facts related to investments she recommended. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Edward Fernandez: $161K Complaint Against Capulent Advisor
Irvine, California financial advisor Edward Fernandez (CRD# 2956661) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Capulent and is the owner of 1031 Crowdfunding.
Bill Hancock: $180K Complaint Against Osaic, H&H Advisor
Shreveport, Louisiana financial advisor Bill Hancock (CRD# 2562794) allegedly recommended unsuitable variable annuities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Osaic Wealth, having previously been registered with Signator Investors.
Shubert Cineus: Simplicity Advisor Fired by Hornor Townsend & Kent
West Palm Beach, Florida financial advisor Shubert Cineus (CRD# 6736413) was terminated froma former employer in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Hornor Townsend & Kent broker is currently registered as an investment advisor with Simplicity Wealth and the managing director… Read More »
Beverly Connelly: Merrill Advisor Landed Complaints
Saint Paul, Minnesota financial advisor Beverly Connelly (CRD# 4576624) has received multiple investor complaints. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Wells Fargo Advisors.
