Milwaukee, Wisconsin financial advisor Kirk Thode (CRD# 5138682) resigned from his former member firm in connection with alleged misconduct. Financial...
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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.
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.
