Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
Read MoreRecent Blog Posts
Arif Ahmed: $204 Million Bond Complaint Against First Republic Advisor
Recent investor complaints against San Francisco financial advisor Arif Ahmed (CRD# 3099755) allege more than $200 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan Securities, having previously been registered with First Republic.
James McDermott: GCG Advisor Allegedly Violated Securities Law
Oakbrook Terrace, Illinois financial advisor James McDermott (CRD# 2483480) recently received an investor complaint alleging that he violated state securities law. Financial Industry Regulatory Authority records show that the former Raymond James representative is a broker and an investment advisor with Osaic Wealth, doing business as GCG Wealth Management.
Leo Rosner: $700K Complaint Against Wealth Strategy Advisor
Beachwood, Ohio financial advisor Leo Rosner (CRD# 1011519) allegedly provided investment advice that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Wealth Strategy Advisors.
Patrick Kenney: $1mm-$5mm Complaint Against Premier Planning Advisor
Toledo, Ohio financial advisor Patrick Kenney (CRD# 1449448) recently received an investor complaint alleging damages as high as $5 million. Financial Industry Regulatory Authority records show that he is a broker with Ameritas Investment Company and an advisor with Ameritas Advisory Services, as well as a representative of Premier Planning Group.
Kurt Klingenberg: Raymond James Denies $100K Complaint
Scottsdale, Arizona financial advisor Kurt Klingenberg (CRD# 2384065) allegedly made excessive trades, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Raymond James & Associates.
Scott Hume: $135K Complaint Against Salish Wealth Advisor
A recent investor complaint against Bellingham, Washington financial advisor Scott Hume (CRD# 2894512) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Salish Wealth Management.
Thomas Geissler: $1mm-$5mm Complaint Against Ameritas Advisor
A recent investor complaint against Toledo, Ohio financial advisor Thomas Geissler (CRD# 2962412) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Ameritas Investment Company and an advisor with Ameritas Advisory Services. He is also a representative of Premier Planning… Read More »
Tim Hakes: Misappropriation Complaint Against Prime Capital Advisor
Overland Park, Kansas financial advisor Tim Hakes (CRD# 2399374) recently received an investor complaint alleging that he misappropriated funds. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Private Client Services and an investment advisor with Prime Capital Investment Advisors.
John Patock: $150K Complaint Against Christianson Financial Advisor
A recent investor complaint against Willmar, Minnesota financial advisor John Patock (CRD# 6039302) alleges that he made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Moloney Securities, doing business as Christianson Financial Advisors.
Chris Weeks: $800K Complaint Against Creative Planing Advisor
Overland Park, Kansas investment advisor Chris Weeks (CRD# 5463406) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Securities and Exchange Commission records show that he is currently registered with Creative Planning, having previously been registered with Northwestern Mutual Investment Services.
