A recent, withdrawn investor complaint against Ogden, Utah financial advisor Steve Story (CRD# 2574091) alleges that he forged a customer’s...
Read MoreRecent Blog Posts
Collin Fingon: Cetera Advisor Fired by Bright Future Wealth
Rutland, Vermont financial advisor Collin Fingon (CRD# 4832770) was recently fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Bright Future Wealth Management broker is currently registered with Cetera Advisors.
Jay Geaslen: $500K REIT Complaint Against Legacy Capital Advisor
Atlanta, Georgia financial advisor Jay Geaslen (CRD# 2124281) allegedly recommended an unsuitable non-traded REIT, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Avantax, and that he is a representative of Legacy Capital Advisors.
Neil Okun: Curning Complaint Against Ex-Morgan Stanley Advisor
Boca Raton, Florida financial advisor Neil Okun (CRD# 2482935) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Trident Partners, having previously been registered with Morgan Stanley.
Chris Martin: FINRA Suspends Archangel Financial Advisor
Apple Valley, California financial advisor Chris Martin (CRD# 4179127) was recently sanctioned in connection with allegations of unapproved private securities actions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Archangel Financial Services.
Bob Daly: FINRA Investigates Ex-Morgan Stanley Advisor
Former Los Angeles financial advisor Bob Daly (CRD# 3111426) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Xtellus Capital Partners, having previously been registered with Morgan Stanley.
Robert Vance: SEC Charges Ex-Moloney Advisor Over GWG Sales
Former Sonora, California financial advisor Robert Vance (CRD# 1887560) allegedly sold unsuitable GWG L bonds, according to a recent civil complaint by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that the former Moloney Securities representative is not currently registered as a broker or an investment advisor. Mr. Vance’s BrokerCheck report… Read More »
Laura Barnes: Moloney Advisor Fined over GWG Sales
A recent Securities and Exchange Commission action against Winterset, Iowa financial advisor Laura Barnes (CRD# 4482198) alleged that she recommended unsuitable investments in GWG L bonds. Financial Industry Regulatory Authority records show that she is registered as a broker with Moloney Securities.
David La Grange: Moloney Advisor’s GWG Sales Lead to SEC Fine
Winterset, Iowa financial advisor David La Grange (CRD# 4200976) allegedly sold unsuitable investments in GWG L bonds, according to a recent order by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities.
Sean Ash: Maxim Advisor Faces $300K Complaint
A recent investor complaint against Fort Lauderdale, Florida financial advisor Sean Ash (CRD# 5567379) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Maxim Group and Maxim Financial Advisors, respectively.
Jesus Quezada: $100K Complaint Against Ex-Crown Capital Advisor
Alhambra, California financial advisor Jesus Quezada (CRD# 5117930) allegedly recommended unsuitable alternative 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 Alexander Capital.
