Hackensack, New Jersey financial advisor Solomon Tobal (CRD# 7643877) recently received an investor complaint alleging that his conduct resulted in...
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Darren Ting: FINRA Bars Ex-JP Morgan Advisor
Former Cleveland financial advisor Darren Ting (CRD# 6814035) was recently suspended by FINRA in connection with allegations he made unauthorized discretionary trades. Financial Industry Regulatory Authority records show that the former JP Morgan Securities broker is currently registered as an investment advisor with Farther Finance Advisors.
Adam Cavise: Investor Complaint Against Ex-Spartan Advisor
New York City financial advisor Adam Cavise (CRD# 4273848) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Revere Securities, having previously been registered with Spartan Capital Securities.
Brian Mariash: UBS Advisor Lands Annuity Complaint
Sarasota, Florida financial advisor Brian Mariash (CRD# 4371979) allegedly recommended unsuitable equity-indexed annuities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.
Cheri Knight: $500K Complaint Against Strategic Financial Alliance
Foothill Ranch, California financial advisor Cheri Knight (CRD# 1854248) recently received an investor complaint alleging that unsuitable investments resulted in six-figure losses. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor registered with The Strategic Financial Alliance, doing business as Knight Asset Management.
Lance Vainik: Viking Financial Advisor Received $441K Complaint
A recent, denied investor complaint against Bingham Farms, Michigan financial advisor Lance Vainik (CRD# 1708526) alleged that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services, as well as the owner of Viking Financial Group.
Shaun Stein: $722K Complaint Against Ex-National Securities Advisor
Jersey City financial advisor Shaun Stein (CRD# 4873578) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with B. Riley Wealth Management, having previously been registered with National Securities Corporation.
Joey Hobbs: $235K Complaint Against Cetera, Ex-LPL Advisor
Dallas financial advisor Joey Hobbs (CRD# 5092184) recently received an investor complaint alleging his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Cetera Investment Services and an advisor with Cetera Investment Advisors, as well as the owner of Financial Vision Consulting.
Kerrie Coe: Regions Bank Advisor Received Structured Product Complaint
A recent, denied investor complaint against Indianapolis financial advisor Kerrie Coe (CRD# 4951159) alleged that she provided poor advice. Financial Industry Regulatory Authority records show that she is a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisors, operating as a representative of Regions Bank.
Nick Hamilton: Hamilton Group Advisor Faces $255K Complaint
A recent investor complaint against Greenwood Village, Colorado financial advisor Nick Hamilton (CRD# 4900895) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as The Hamilton Group.
John Corello: Janney Advisor Receives Closed-End Fund Complaint
Allentown, Pennsylvania financial advisor John Corello (CRD# 1407750) recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Janney Montgomery Scott, whose website shows that he is a member of KLC Wealth Advisory.
