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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Alex Hykel: Merrill Advisor Receives Investor Complaint
Delray Beach, Florida financial advisor Alex Hykel (CRD# 6332285) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Equitable Advisors.
Matt Clark: Principal Securities Advisor Lands Investor Complaint
Dublin, Ohio financial advisor Matt Clark (CRD# 1319815) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Principal Securities.
Bryan Hakola: $500K-$1mm Complaint Against Diversified Advisor
Ann Arbor, Michigan financial advisor Bryan Hakola (CRD# 4161289) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services, doing business as Diversified Investment Strategies.
Andrew Stauff: $500K complaint Against Ex-MassMutual Advisor
A recent investor complaint against Tampa, Florida financial advisor Andrew Stauff (CRD# 6254406) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former MassMutual broker is currently registered as an investment advisor with Trajan Wealth.
Alexis Prokop: Ex-UBS Advisor Faces Illegal Transfer Complaint
Garden City, New York financial advisor Alexis Prokop (CRD# 5632376) allegedly made illegal wire transfers, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with UBS Financial Services.
Ken Kohn: REIT Complaint Against Equinox Advisor
Melville, New York financial advisor Ken Kohn (CRD# 1575332) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, and that he is a member of Equinox Financial Partners.
Kurt Jackson: Suitability Complaint Against Ex-Kestra Advisor
Arroyo Grande, California financial advisor Kurt Jackson (CRD# 2913769) 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 Commonwealth Financial Network, and he is the owner of Central Coast Wealth Management.
Mike Lader: $100K Complaint Against Ameriprise Advisor
A recent investor complaint against Palm Beach Gardens, Florida financial advisor Mike Lader (CRD# 5158093) 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 Ameriprise Financial Services.
Ben Duckett: Graystone Advisor Receives Options Complaint
A recent investor complaint against Carlsbad, California financial advisor Ben Duckett (CRD# 6143741) 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 Morgan Stanley, whose website shows that he is a member of Graystone Consulting, a practice within… Read More »
Cody Moran: Bankers Life Advisor Faced $1.8mm Complaint
A recent, denied investor complaint against Cedar Rapids, Iowa financial advisor Cody Moran (CRD# 6939984) alleged that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Bankers Life Securities.
