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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Mark Martin: Annuity Complaint Against Integrity Alliance Advisor
Imperial, Pennsylvania financial advisor Mark Martin (CRD# 1945626) allegedly recommended an annuity whose issuer became insolvent, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Integrity Alliance, doing business as Kuorum Partners.
Siamak Eghlidi: Calton Advisor Received $841K Complaint
A recent, denied investor complaint against Newburg, Oregon financial advisor Siamak Eghlidi (CRD# 1596968) alleged that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Calton & Associates, having previously been registered with Capital Financial Services.
Amy Brandts: $450K Complaint Against Symphony Advisor
Recent investor complaints against Herndon, Virginia financial advisor Amy Brandts (CRD# 1228497) allege losses resulting from a cyber security breach. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cambridge Investment Research, and that she is the owner of Symphony Financial Partners.
Li Kelly: LPL, Ex-NI Advisor Faces $100K-$500K Complaint
Forest Hills, New York financial advisor Li Kelly (CRD# 6115397) recently received an investor complaint alleging that her advice resulted damages as high as $500,000. Financial Industry Regulatory Authority records show that she is registered as a broker with LPL, having previously been registered with NI Advisors.
Iryna Warren: Merrill Denies Complaint Against Advisor
A recent, denied investor complaint against Washington, DC financial advisor Iryna Warren (CRD# 6286876) alleged 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.
Michael Graham: LPL Advisor Faces $276K Complaint
El Paso, Texas financial advisor Michael Graham (CRD# 3263494) recently received an investor complaint alleging 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 LPL Financial, doing business as Graham Capital Strategies.
Nick Ellis: $70K Bond Complaint Against Ex-Centaurus Advisor
Tustin, California financial advisor Nick Ellis (CRD# 1082891) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services. He is also the president of Ellis Advisory Group.
Ken Hamada: Avantax Advisor Landed REIT Complaint
A recent, denied investor complaint against Prescott, Arizona financial advisor Ken Hamada (CRD# 2661699) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Avantax, doing business as Hamada Wealth Management.
Anibal Drelichman: $115K Complaint Against UBS, ex-RBC Advisor
Washington, DC financial advisor Anibal Drelichman (CRD# 2916477) recently received an investor complaint alleging that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, having previously been registered with RBC Capital Markets.
Joshua Helmle: Ex-Integrity Broker Faced GWG Complaint
Former Monterey Park, California financial advisor Joshua Helmle (CRD# 2195760) allegedly recommended unsuitable GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Integrity Brokerage.
