A recent investor complaint against Wintersville, Ohio financial advisor Paul Sweeney (CRD# 6289017) alleges that his conduct resulted in six-figure...
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Timothy Yee: Green Retirement Advisor Faces $126K Complaint
Alameda, California financial advisor Timothy Yee (CRD# 2492578) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Green Retirement.
Chris Dibari: PNC Advisor Receives $384K Annuity Complaint
Milford, Ohio financial advisor Chris Dibari (CRD# 3012315) 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 PNC Investments.
Darden Livesay: $682K Complaint Against Morgan Stanley Advisor
Stamford, Connecticut financial advisor Darden Livesay (CRD# 1311042) 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 Morgan Stanley.
Reza Zafari: Merrill Advisor Lands $2 Million Complaint
Los Angeles financial advisor Reza Zafari (CRD# 1332633) allegedly provided unsuitable advice, according to a recent, seven-figure investment complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Parviz Pourfarid: $160K Bond Complaint Against WIS Advisor
A recent investor complaint against Pasadena, California financial advisor Parviz Pourfarid (CRD# 2112613) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities.
Sarah Robinson: Supreme Alliance Advisor Fired by Avantax
Brewster, Massachusetts financial advisor Sarah Robinson (CRD# 4443947) was recently terminated by Avantax Investment Services in connection with an alleged rule violation. Financial Industry Regulatory Authority records show that she is now registered as a broker with Supreme Alliance.
Michael Ginestro: $2.4mm Complaint Against Merrill Lynch Advisor
Los Angeles financial advisor Michael Ginestro (CRD# 2468911) recently received an investor complaint alleging that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch. Mr. Ginestro’s BrokerCheck report discloses one investor complaint. Filed… Read More »
Dan Schapiro: $50K Complaint Against Dominari, Ex-Aegis Advisor
New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, doing business as Gotham Equities. He was previously registered with Aegis Capital.
Carl DeMarco: Hornor Townsend Advisor Faces $144K Complaint
A recent investor complaint against Tinton Falls, New Jersey financial advisor Carl DeMarco (CRD# 2671924) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hornor Townsend & Kent, doing business as Primary Financial.
Randy Moening: Aegis Advisor Fired by RBC
Austin, Texas financial advisor Randy Moening (CRD# 3029155) was recently terminated from his position at RBC Capital Markets in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is now registered as a broker with Aegis Capital Corporation.
