A recent investor complaint against former Newton, Massachusetts financial advisor Ron Birnbaum (CRD# 2382580) alleges that his conduct resulted in...
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Anthony D’Ascoli: Oppenheimer Advisor Lands $850K Complaint
A recent investor complaint against Delray Beach, Florida financial advisor Anthony D’Ascoli (CRD# 4133420) 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 Oppenheimer & Company.
Mike Cecere: $49K Complaint Against TSG, Ex-PHX Advisor
Ronkonkoma, New York financial advisor Mike Cecere (CRD# 3250479) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with TSG Capital Advisors, having previously been registered with PHX Financial.
Jeffrey Thure: Aegis Advisor Lands Suitability Complaint
A recent investor complaint against Melville, New York financial advisor Jeffrey Thure (CRD# 2687213) alleges that he failed to uphold his duties. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Aegis Capital.
John Schiro: $225K Complaint Against Raymond James Advisor
Dallas, Texas financial advisor John Schiro (CRD# 5828193) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
David Segarra: Suitability Complaint Against LPL, Ex-Centaurus Advisor
A recent investor complaint against Las Vegas, Nevada financial advisor David Segarra (CRD# 4482059) alleges that his ådvice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Latus Group.
Jenna Spurrier: Thurston Springer Advisor Receives Complaint
Indianapolis, Indiana financial advisor Jenna Spurrier (CRD# 4284511) allegedly mismanaged a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Thurston Springer, doing business as JKS Financial.
Paul Drueke: $136K Suitability Complaint Against Stifel Advisor
Grand Rapids, Michigan financial advisor Paul Drueke (CRD# 814408) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Vince Annable: Realta Advisor Allegedly “Lied” to Clients
A recent investor complaint against Scottsdale, Arizona financial advisor Vince Annable (CRD# 1033573) alleges that he lied to his customers. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Transce3nd.
Aaron Sevigny: $500K-$1mm Complaint Against Acadia Advisor
A recent investor complaint against Bonita Springs, Florida financial advisor Aaron Sevigny (CRD# 4314368) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment adviser with United Planners’ Financial Services of America, doing business as… Read More »
Carlson Law Files FINRA Arbitrations Against UBS and Morgan Stanley Concerning Atlanta Financial Advisor Araya Mesfin
Carlson Law, P.A., a Miami Beach-based securities litigation law firm, has filed two FINRA arbitration claims against Morgan Stanley and UBS Financial Services relating to the conduct of Atlanta-based financial advisor Araya Mesfin. The first claim, filed against Morgan Stanley, alleges mismanagement of an investment strategy and securities-based line of credit, as well as… Read More »
