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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Brian Barber: Lake Financial Advisor Received Trading Complaint
A recent, denied complaint against Port Washington, Wisconsin financial advisor Brian Barber (CRD# 5397025) alleged that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Lake Financial Group.
David Randall: Ex-Merrill Advisor Received Misappropriation Complaint
A recent, denied investor complaint against Alpharetta, Georgia financial advisor David Randall (CRD# 6219621) alleged that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former UBS Financial Services broker is currently registered as an investment advisor with Elevation Point Wealth Partners.
Reid Rasner: Why Did LPL Fire Omnivest Advisor?
Casper, Wyoming financial advisor Reid Rasner (CRD# 6887076) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Omnivest.
Deborah Stackpole: $840K DST Complaint Against Stonecrest Advisor
Bayville, New Jersey financial advisor Deborah Stackpole (CRD# 4969850) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Stonecrest Capital Markets and an investment advisor with Stonecrest Advisors.
Peter Roberts: $200K Complaint Against Cornerstone Advisor
Richmond, Virginia financial advisor Peter Roberts (CRD# 6982848) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with WealthForge Securities, doing business as Cornerstone Real Estate Investment Services.
Eric Fenlason: Why Did LPL Fire Arkadios/Legacy Advisor?
Metairie, Louisiana financial advisor Eric Fenlason (CRD# 6211962) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker with Arkadios Capital and an investment advisor with Legacy Investment Services.
Ricardo Dacosta: Suitability Complaint Against Align Wealth Advisor
Iselin, New Jersey financial advisor Ricardo Dacosta (CRD# 5648774) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Align Wealth Group.
Kevin Sierzant: Caprock Group Advisor Fired by Merrill Lynch
Newport Beach, California financial advisor Kevin Sierzant (CRD# 7223312) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Merrill Lynch broker is currently registered as an investment advisor with The Caprock Group.
William Lefkowitz: $1mm Complaint Against B. Riley Advisor
A recent investor complaint against New York City financial advisor William Lefkowitz (CRD# 1170503) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital and B. Riley Wealth Management, and as an investment advisor with B. Riley.
Ed Turley: Ex-JP Morgan Advisor Has Faced 7-Figure Complaints
Former San Francisco financial advisor Ed Turley (CRD# 1872294) has received multiple investor complaints alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that the former JP Morgan Securities broker has been barred from acting as a broker or otherwise associating with a broker-dealer firm.
