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Mohammed Salim: FINRA Bars Ex-Morgan Stanley Broker

By Chase Carlson |

Former New York City financial advisor Mohammed Salim (CRD# 7126671) was recently sanctioned and barred in connection with allegedly unauthorized sales. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley, having previously been registered with Charles Schwab & Company.

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Don Everhart: Ex-Whitehall-Parker Advisor Suspended; GWG Sales

By Chase Carlson |

Former Dixon, California financial advisor Don Everhart (CRD# 2150508) allegedly recommended an unsuitable investment in GWG L bonds, according to a disciplinary action against him. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Emerson Equity, having previously been registered with Whitehall-Parker Securities.

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Lilly Han: $180K Complaint Against TKC Wealth Advisor

By Chase Carlson |

Dallas, Texas financial advisor Lilly Han (CRD# 6781075) allegedly misrepresented private placements, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.

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Frank Hill: $500K Complaint Against Meritrust Advisor

By Chase Carlson |

Louisville, Kentucky financial advisor Frank Hill (CRD# 2208115) allegedly misrepresented and recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Kestra, doing business as Meritrust Wealth Management.

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Tami Wihlen: Excel Securities Advisor Faces $379K Complaint

By Chase Carlson |

Rochester, New York financial advisor Tami Wihlen (CRD# 2712926) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ashton Thomas Securities, as well as a representative of Excel Securities.

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Anthony Jovanovich: REIT Complaint Against Wintrust Advisor

By Chase Carlson |

Elgin, Illinois financial advisor Anthony Jovanovich (CRD# 2948544) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Wintrust Investments.

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Chris Hayes: Fifth Third Advisor Lands $320K Complaint

By Chase Carlson |

Dayton, Ohio financial advisor Chris Hayes (CRD# 2333190) allegedly recommended unsuitable 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 Fifth Third Securities.

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Bob Hill: Saxony Advisor Fired by Morgan Stanley

By Chase Carlson |

St. Louis financial advisor Bob Hill (CRD# 2268971) was recently terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is currently registered as a broker with Saxony Securities.

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Ralph Jackson: Morgan Stanley Fires Sports & Entertainment Advisor

By Chase Carlson |

Former Los Angeles financial advisor Ralph Jackson (CRD #1569213) was recently terminated by his member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley. His LinkedIn profile notes that he was a Global Sports & Entertainment Director at… Read More »

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Jeff Morrison: Bond Complaints Against LifeMark Advisor

By Chase Carlson |

A recent investor complaint against Livingston, New Jersey financial advisor Jeff Morrison (CRD# 3200399) alleged negligence involving a corporate bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LifeMark Securities.

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Latest Blog Posts
  • Mohammed Salim: FINRA Bars Ex-Morgan Stanley Broker

    Former New York City financial advisor Mohammed Salim (CRD# 7126671) was recently sanctioned and barred in connection with allegedly unauthorized...

    Read More
  • Don Everhart: Ex-Whitehall-Parker Advisor Suspended; GWG Sales

    Former Dixon, California financial advisor Don Everhart (CRD# 2150508) allegedly recommended an unsuitable investment in GWG L bonds, according to...

    Read More
  • Lilly Han: $180K Complaint Against TKC Wealth Advisor

    Dallas, Texas financial advisor Lilly Han (CRD# 6781075) allegedly misrepresented private placements, according to a recent investor complaint. Financial Industry...

    Read More
  • Frank Hill: $500K Complaint Against Meritrust Advisor

    Louisville, Kentucky financial advisor Frank Hill (CRD# 2208115) allegedly misrepresented and recommended an unsuitable investment, according to a recent investor...

    Read More
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