A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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John Tryon: Centaurus Advisor Denies $100K Bond Complaint
Troy, Michigan financial advisor John Tryon (CRD# 1593231) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Centaurus Financial, doing business as John E. Tryon & Associates.
Joel Harworth: Connect Tax & Wealth Advisor Lands $93K Complaint
Covina, California financial advisor Joel Harworth (CRD# 3131373) recently received an investor complaint alleging that his conduct resulted in more than $90,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Connect Tax and Wealth Management.
Jeff Buchanan: $198K Complaint Against Wealth Management Advisor
A recent investor complaint against Hershey, Pennsylvania financial advisor Jeff Buchanan (CRD# 4083514) alleges 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 Securities America, doing business as Wealth Management Services.
Nate Tuori: $90K Complaint Against PNC Advisor
Toledo, Ohio financial advisor Nate Tuori (CRD# 5809383) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with PNC Investments, having previously been registered with Morgan Stanley.
Lillian Henderson: Ex-Edward Jones Advisor Receives $600K Complaint
Meridianville, Alabama financial advisor Lillian Henderson (CRD# 5847473) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the former Merrill Lynch and Edward Jones broker is currently registered as an investment advisor with LBH Wealth Advisors.
Carlos Guzman: Did Merrill Lynch Advisor Misappropriate Funds?
A recent investor complaint against Tucson, Arizona financial advisor Carlos Guzman (CRD# 6323925) alleges that he misappropriated a customer’s funds. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Carlson Law Files Claim Involving Anthony Desjardins of Centaurus
Carlson Law recently filed a case on behalf of an investor against Centaurus Financial involving the actions of Lady Lake, Florida financial advisor Anthony Desjardins (CRD# 6528916). Mr. Desjardins is a broker registered with Centaurus Financial, doing business as Desjardins Retirement Solutions. Carlson Law’s client is a retired 73-year-old, living in The Villages, Florida…. Read More »
Rick Shaw: $1.5mm Complaint Against Lincoln Financial Advisor
Scottsdale, Arizona financial advisor Rick Shaw (CRD# 1870018) has received multiple investor complaints alleging that he recommended unsuitable investments in real estate and oil and gas products. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Todd Havemeister: FINRA Suspends Ex-Great Point Capital Advisor
Orlando financial advisor Todd Havemeister (CRD# 1942953) allegedly misrepresented private placement offerings, according to a recent regulatory sanction. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Great Point Capital broker is currently registered as an investment advisor with Blueskye Investment Advisors.
Larry Teichman: Ex-LPL Advisor Faces $110K REIT Complaint
Former Chesterland, Ohio financial advisor Larry Teichman (CRD# 2759058) recently received an investor complaint stemming from an REIT investment. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services and LPL Financial broker is currently not registered with any broker-dealer firm.
