Columbus, Indiana financial advisor Joe Doggett (CRD# 1033987) has received multiple investor complaints alleging that his conduct resulted in losses....
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Dan King: FINRA Sanctions Ex-Newbridge Advisor over Margin Trades
San Diego financial advisor Dan King (CRD# 5954543) was recently sanctioned and suspended in connection with allegations of unsuitable margin trading. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Kingswood Capital Partners and Kingswood Wealth Advisors, respectively.
Jim Geake: REIT Complaints Against Madison Avenue Advisor
Skokie financial advisor Jim Geake (CRD# 2629008) has received investor complaints alleging that he recommended unsuitable alternative investments, including NorthStar Healthcare REIT and Hospitality Investors Trust. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Madison Avenue Securities, doing business as Wayne Messmer & Associates.
Christopher Grano: $370K Complaint Against Ex-Cetera Advisor
A recent investor complaint against Islandia, New York financial advisor Christopher Grano (CRD# 2937422) alleges that his investment advice resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as The Grano Group.
Dan Curtin: JP Morgan Advisor Faces $40 Million Complaint
Boston financial advisor Dan Curtin (CRD# 2213788) recently received an investor complaint alleging that his conduct resulted in eight-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan.
Amy Cranfill: Stifel Nicolaus Denies $300K Complaint
Redlands, California financial advisor Amy Cranfill (CRD# 6629436) recently received an investor complaint that sought six-figure damages and was denied. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Stifel Nicolaus & Company.
Bob Thompson: Concourse Financial Fired Progressive Financial Advisor
Palos Hills, Illinois financial advisor Bob Thompson (CRD# 1975407) was recently terminated from Concourse Financial Group Securities in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently an investment advisor at Harvest Investment Services, doing business as Progressive Financial Planning.
JoAnna Westcott: LPL/Bill Westcott Advisor Faces ETF Complaint
Tucson, Arizona financial advisor JoAnna Westcott (CRD# 1187278) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor registered with LPL Financial, doing business as Bill Westcott Inc.
Alex Kline: Duncan Financial Advisor Faces $500K Complaint
Pittsburgh financial advisor Alex Kline (CRD# 1271785) allegedly made unsuitable investment recommendations that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Duncan Financial Group.
Pasquale Capone: $600K Complaint Against Wells Fargo Advisor
Recent investor complaints against Woodbury, New York financial advisor Pasquale Capone (CRD# 2487767) allege that he recommended unsuitable investments and made unauthorized transactions. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Brian Culver: Abakon Advisor Lands $500K ETF Complaint
Kalamazoo financial advisor Brian Culver (CRD# 6392736) recently received an investor complaint alleging that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Abakon Financial.
