A recent investor complaint against Greenville, South Carolina financial advisor Phillip Allen (CRD# 1337542) alleges that he recommended an unsuitable...
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Anthony Mitus: Morgan Stanley Advisor Faces $700K Complaint
A recent investor complaint against Saginaw, Michigan financial advisor Anthony Mitus (CRD# 5613183) alleges that his investment strategy resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Nicholas Duthie: Osaic Fires Advisor After Investigation
Oklahoma City, Oklahoma financial advisor Nicholas Duthie (CRD# 5870451) was recently fired by his former member firm in connection with alleged misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Osaic broker is currently registered as an investment advisor with DBM Advisors.
Gregory Erekson: Edward Jones Advisor Faced $2.4mm Complaint
A recent, denied investor complaint against St. Louis, Missouri financial advisor Gregory Erekson (CRD# 5168632) alleged 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 Edward Jones.
David Soiferman: Why Was Advisor Fired by Ameriprise?
Orlando, Florida financial advisor David Soiferman (CRD# 1990243) was recently fired by a former member firm in connection with alleged rule allegations. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services representative is currently registered as a broker with Cambridge Investment Research.
James Nelson: Realta Advisor Lands Suitability Complaint
Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Realta Investment Advisors.
Andrew Andreotta: Park Ave Advisor Resigned over Forgery Allegations
Hendersonville, Tennessee financial advisor Andrew Andreotta (CRD# 6980955) resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Park Avenue Securities representative is now registered as a broker with Kovack Securities and an investment advisor with Kovack Advisors.
Joanna Rogers: Morgan Stanley Advisor Faces $124K Complaint
A recent investor complaint against Waco, Texas financial advisor Joanna Rogers (CRD# 4929259) alleges that she made misrepresentations of material facts. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Kirk Thode: Why Did Advisor Resign from Morgan Stanley?
Milwaukee, Wisconsin financial advisor Kirk Thode (CRD# 5138682) resigned from his former member firm in connection with alleged misconduct. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is currently registered as a broker and an investment advisor with LPL Financial.
Laith Khalaf: $140K Complaint Against Wells Fargo Advisor
Dublin, Ohio financial advisor Laith Khalaf (CRD# 4175532) recently received an investor complaint alleging that he recommended an unsuitable investment strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Sahand Elmtalab: MML Advisor Receives $4.3mm Complaint
Minneapolis, Minnesota financial advisor Sahand Elmtalab (CRD# 5484654) 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 advisor with MML Investors Services.
