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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Danny Baumgold: $591K Complaint Against Ex-LPL, JBA Advisor
A recent investor complaint against Fort Collins, Colorado financial advisor Danny Baumgold (CRD# 7572205) alleges 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 Cambridge Investment Research, doing business as JBA Wealth Management Group.
Jim Olsen: Why Was Legacy Advisor Fired by LPL?
Metairie, Louisiana financial advisor Jim Olsen (CRD# 857594) 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 and an investment advisor with Arkadios, doing business as Legacy Investment Strategies.
Gayle Hawkins: LPL Denies Complaint Against Advisor
A recent, denied investor complaint against Paramus, New Jersey financial advisor Gayle Hawkins (CRD# 6150475) alleged that she omitted material information. Financial Industry Regulatory Authority records show that she is registered as a broker with LPL Enterprise, having previously been registered with Pruco Securities.
Adam Rosenthal: UBS Advisor Lands Investor Complaint
New York City financial advisor Adam Rosenthal (CRD# 2277291) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Bradley Pottorf: Why Was Oppenheimer Advisor Fired by Wells Fargo?
Vienna, Virginia financial advisor Bradley Pottorf (CRD# 6900247) was terminated from his former member firm in connection with alleged misconduct. Financial Industry Regulatory Authority records show that the former Wells Fargo representative is currently registered as a broker and an investment advisor with Oppenheimer & Company.
Cooper Carden: Investor Complaint Against Kovack Advisor
Vestavia, Alabama financial advisor Cooper Carden (CRD# 6902893) has received multiple investor complaints alleging that his advice resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual Investment Services broker is currently registered as an investment advisor with Kovack Advisors.
Paul Sangyop Lee: $250K Complaint Against Kingswood Advisor
A recent investor complaint against Fullerton, California financial advisor Paul Sangyop Lee (CRD# 5541067) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.
Michael Barry: $100K Complaint Against Stifel Advisor
New Orleans, Louisiana financial advisor Michael Barry (CRD# 2690041) 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 Stifel Nicolaus & Company.
Jack Drapacz: Why Was Advisor Fired by Paulson Investment Company?
Boca Raton, Florida financial advisor Jack Drapacz (CRD# 3109596) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Paulson Investment Company representative is currently registered as a broker with Development Corporation for Israel.
John Becker: LPL Advisor Faces Annuity Complaint
Melbourne, Florida financial advisor John Becker (CRD# 5928771) allegedly failed to follow a customer’s instructions, 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 ClearView Wealth Management.
