Columbus, Indiana financial advisor Joe Doggett (CRD# 1033987) has received multiple investor complaints alleging that his conduct resulted in losses....
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Dan Pikula: $1.5mm Complaint Against Money Manager Advisor
Wellington, Florida financial advisor Dan Pikula (CRD# 2563165) 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 with Emerson Equity and an investment advisor with Money Manager.
Steve Menke: Strategic Wealth Advisor Faces Oil & Gas Complaint
A recent investor complaint against Lawrence, Kansas financial advisor Steve Menke (CRD# 4548579) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research and that he is a representative of Strategic Wealth.
Barbara Wooden: $100K Complaint Against Primerica Advisor
Lake Worth, Florida financial advisor Barbara Wooden (CRD# 4921913) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with PFS Investments and an investment advisor with Primerica Advisors.
Matthew Klein: $110K Complaint Against MATAURO Advisor
Summit, New Jersey financial advisor Matthew Klein (CRD# 5060520) allegedly misrepresented an investment, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The Leaders Group and an investment advisor with MATAURO.
Ryan Messenger: $20K Complaint Against Edward Jones Advisor
A recent investor complaint against Meadville, Pennsylvania financial advisor Ryan Messenger (CRD# 5091888) alleges that he made an illegal transfer. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Tony Tolene: Infinity Advisor Receives $100K Complaint
Harrisburg, Pennsylvania financial advisor Tony Tolene (CRD# 5730068) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor, and was formerly a broker, with Infinity Financial Services.
Tiffany Keigley: FINRA Bars Ex-Morgan Stanley Advisor
Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Morgan Stanley and that she has received one investor complaint.
Shammi Samaroo: FINRA Bars Ex-NYLife Advisor
Former Sunrise, Florida financial advisor Shammi Samaroo (CRD# 6267861) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with NYLife Securities.
Eric Dupre: Barred Ex-Ameriprise Advisor Faces $3mm Complaint
Former San Antonio, Texas financial advisor Eric Dupre (CRD# 2174456) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Ameriprise Financial Services and that he has received an investor complaint alleging 7-figure damages.
Chuck Roberts: Barred Ex-Stifel Advisor Faces 7-Figure Complaints
Former New York City and Miami financial advisor Chuck Roberts (CRD# 2064602) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Stifel Nicolaus & Company.
