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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Nicolas Longpre: $750K Complaint Against Wealth Trading Advisor
A recent investor complaint against Honolulu financial advisor Nicolas Longpre (CRD# 4791561) alleges 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 Cambridge Investment Research, doing business as Wealth Trading Partners.
Michael Siek: Suitability Complaint Against Ex-Aegis Advisor
Recent investor complaints against New York City financial advisor Michael Siek (CRD# 2072767) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, having previously been registered with Aegis Capital.
Milka Micic: $10mm Complaint Against JP Morgan Advisor
A recent investor complaint against Chicago, Illinois financial advisor Milka Micic (CRD# 4929945) alleges that her conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with JP Morgan Securities.
Rajesh Markan: SEC Alleged Misappropriation by Ex-Merrill Advisor
Former Dallas, Texas financial advisor Rajesh Markan (CRD# 4553309) allegedly misappropriated customer funds, according to a judgment issued by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Hilltop Securities and Merrill Lynch.
Louis Pepe: Suitability Complaint Against Capitol Securities Advisor
Melville, New York financial advisor Louis Pepe (CRD# 4651571) allegedly made excessive trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Capitol Securities Management.
Mary Duffman: Merrill Advisor Faces Unauthorized Trading Complaint
Raleigh, North Carolina financial advisor Mary Duffman (CRD# 4651571) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Matt Gimmelli: $1mm Complaint Against Morgan Stanley Advisor
Scottsdale, Arizona financial advisor Matt Gimmelli (CRD# 2740441) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Jay Porter: $99K Complaint Against Realta Advisor
Bellevue, Washington financial advisor Jay Porter (CRD# 1123708) allegedly engaged in negligence, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Realta, doing business as Porter Advisory Group.
Brian Field: Lifetime Advisor Lands Suitability Complaint
A recent, denied investor complaint against Encinitas, California financial advisor Brian Field (CRD# 4354776) alleges that his advice 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 Lifetime Financial Advisors.
Peter Economos: Merrill Advisor Lands REIT Complaint
A recent, denied investor complaint against Walnut Creek, California financial advisor Peter Economos (CRD# 6596680) alleged that he violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
