A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in...
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Troy Thomas: $400K DST Complaint Against McDermott Advisor
A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
John Noonan: Merrill Advisor Receives Misappropriation Complaint
Virginia Beach, Virginia financial advisor John Noonan (CRD# 4425914) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ronny Banerjee: Why Was Chelsea Advisor Fired by Voya?
Staten Island, New York financial advisor Ronny Banerjee (CRD# 3112832) was recently fired by his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Voya Financial Advisors representative is currently registered as a broker with Chelsea Financial Services.
Matt Calhoun: $83K Complaint Against Ex-Cambridge Advisor
Columbus, Ohio financial advisor Matt Calhoun (CRD# 4425914) 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 with Osaic Wealth and an investment advisor with Signature Equity Partners, having previously been registered with Cambridge Investment Research.
Ray Chera: Ex-Osaic, Woodbury Advisor Faces Complaint
Brooklyn, New York financial advisor Ray Chera (CRD# 5829380) 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 Wells Fargo Advisors, having previously been registered with Osaic Wealth and Woodbury Financial Services.
Hoyt Williams: Investor Complaint Against Ex-Cambridge Advisor
Jackson, Mississippi financial advisor Hoyt Williams (CRD# 2410231) allegedly recommended an investment for the purpose of generating high commissions, according to a recent investor complaint. Securities and Exchange Commission records show that he is registered as an investment advisor with Advisory Services Network.
Mark Atchity: $3.5mm Complaint Against Cabin Advisor
A recent investor complaint against Laguna Niguel, California financial advisor Mark Atchity (CRD# 2530342) alleges that his conduct resulted in damages exceeding $3 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Cabin Securities and JCC Capital Markets and as an investment advisor with Cabin Advisors.
William Grant: Merrill Advisor Lands Options Complaint
A recent investor complaint against Duluth, Georgia financial advisor William Grant (CRD# 4219455) alleges that he misrepresented options investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Brian Tsai: Landolt Advisor Sanctioned over GWG L-Bond Sales
Dallas, Texas financial advisor Brian Tsai (CRD# 6687951) was recently sanctioned in connection with the sale of GWG L-Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.
Alan Ngo: Primerica Advisor Barred by FINRA
Former Freehold, New Jersey financial advisor Alan Ngo (CRD# 4273116) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PFS Investment Services, also known as Primerica.
