Littleton, Colorado financial advisor Travis Tom (CRD# 4762216) was recently discharged from his former member firm in connection with alleged...
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Mark Gassoso: $500K Complaint Against Ex-National Securities Advisor
Jersey City financial advisor Mark Gassoso (CRD# 2590007) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management, having previously been registered with National Securities Corporation.
Rich Gibson: Purshe Kaplan Advisor Faces $2 Million DST Complaint
A recent investor complaint against Long Beach, California financial advisor Rich Gibson (CRD# 5352063) alleges that he recommended unsuitable Delaware Statutory Trust investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Global View Capital Management.
Bron Thompson: CIG Advisor Faces 6-Figure GWG Complaints
Dunn, North Carolina financial advisor Bron Thompson (CRD# 4350479) has received multiple investor complaints relating to investments in GWG Holdings. Financial Industry Regulatory Authority records show that he is registered as a broker with Capital Investment Group and an advisor with Capital Investment Advisory Services.
Bilo Bouab: Garden State Advisor Receives 6-Figure Complaints
Red Bank, New Jersey financial advisor Bilo Bouab (CRD# 4340284) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Garden State Securities broker is currently registered as an investment advisor with Garden State Investment Advisory Services.
Rich Ceffalio: $3.5mm Complaint Against Fired LPL Advisor
Arlington Heights, Illinois financial advisor Rich Ceffalio (CRD# 2619565) was terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial broker is currently registered with NewEdge Advisors, doing business as Providence Private Wealth.
Angelo Anello: Tailored Wealth Advisor Lands $84K Complaint
Needham, Massachusetts financial advisor Angelo Anello (CRD# 2835091) 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 LPL Financial, doing business as Tailored Wealth Management.
Kevin Kelly & Chris Kirkland: Legacy Advisors Face $999K Complaint
Atlanta financial advisor Kevin Kelly (CRD# 2293119) and Chris Kirkland (CRD# 5602044) have received multiple investor complaints alleging that their advice resulted in damages of at least $900,000. Financial Industry Regulatory Authority records show that the Avantax representatives do business as Legacy Capital Advisors.
Mario Rivero: Ex-LPL Advisor Stole From Clients
Former Red Bank, New Jersey financial advisor Mario Rivero (CRD# 5856503) pleaded guilty to wire fraud and securities fraud in connection with allegations that he misappropriated his clients’ funds. Financial Industry Regulatory Authority records show that he was previously registered as a broker with LPL Financial, doing business as Gladstone Advisors.
Sean Olsen: $253K Complaint Against Garden State Advisor
Red Bank, New Jersey financial advisor Sean Olsen (CRD# 2789558) recently received an investor complaint alleging that his conduct resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Garden State Securities and an investment advisor with Garden State Investment Advisory Services.
Craig Cunningham: Chicagoland Advisor Received Complaints
Orland Park, Illinois financial advisor Craig Cunningham (CRD# 2850891) has received two denied investor complaints alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, whose website describes him as a member of The Chicagoland Group.
