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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Ronald Berg: FINRA Bars Innovation Partners Advisor
Charlotte, North Carolina financial advisor Ronald Berg (CRD# 19008) was recently sanctioned in connection with an investigation into his alleged recommendation of private offerings to senior customers. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Innovation Partners.
Bill Munn: Ameriprise Denies RiverSource 200K Complaint
Paramus, New Jersey financial advisor Bill Munn (CRD# 2250062) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Ameriprise Financial Services.
Brandon Morrow: Complaint Against Emerson Advisor Alleged $900K
Irvine, California financial advisor Brandon Morrow (CRD# 3037943) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the Emerson Equity broker is also a Regional Vice President at Keystone National Properties Real Estate.
Scott Olson: Innovation Partners Advisor Faces $500K REIT Complaint
Melbourne, Florida financial advisor Scott Olson (CRD# 711256) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Innovation Partners and IP Financial Advisory Services, respectively.
Bill Czaplewski: Lake Ridge Advisor Faces Suitability Complaint
A recent investor complaint against Monona, Wisconsin financial advisor Bill Czaplewski (CRD# 2386057) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Lake Ridge Financial.
Melanie Gilmore: Wells Fargo Advisor Faces $500K Complaint
La Jolla, California financial advisor Melanie Gilmore (CRD# 4945629) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Jet Huempfner: LPL Denies $360K NVDA Complaint
Former Green Bay, Wisconsin financial advisor Jet Huempfner (CRD# 7076803) recently received an investor complaint alleging that their advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the former LPL Financial broker is not currently registered with any FINRA member firm.
Jerry Kiefer: $99K Complaint Against Equitable Advisor
A recent investor complaint against Edmond, Oklahoma financial advisor Jerry Kiefer (CRD# 2271043) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Equitable Advisors.
Jason Smith: Legacy Advisor Lands $75K Investor Complaint
East Peoria, Illinois financial advisor Jason Smith (CRD# 6151353) allegedly recommended an unsuitable investment, 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 Osaic Wealth, doing business as Legacy Investment Services.
Gerry McGinley: $500K-$1mm Complaint Against UBS Advisor
Westport, Connecticut financial advisor Gerry McGinley (CRD# 1811084) recently received an investor complaint relating to an options overlay strategy. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services.
