Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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John Chaney: Bond Complaint Against Moloney Securities Advisor
A recent investor complaint against Phoenix financial advisor John Chaney (CRD# 44529) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker with Moloney Securities, doing business as Chaney & Associates.
Scott Norvell: FINRA Advises Sanction Against TR Financial Advisor
Omaha financial advisor Scott Norvell (CRD# 2196706) was recently the subject of an investigation that concluded with a recommendation of disciplinary action against him. Financial Industry Regulatory Authority records show that he is currently a broker with Brokers International Financial Services and an investment advisor with Brokers Financial, doing business as TR Financial.
Edward Rosenblatt: $200K Complaint Against Cetera Advisor
Mission Viejo, California financial advisor Edward Rosenblatt (CRD# 2658712) breached his fiduciary duty, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Cetera Advisor Networks.
Apryl Waldman: $40K Bond Complaint Against Monecito Advisor
A recent investor complaint against Bellingham, Washington financial advisor Apryl Waldman (CRD# 4653460) alleges improper recommendations of risky investments. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as Montecito Financial Services.
Lisa Mantei: Cola Wealth Advisor Receives $200K Complaint
Lexington, South Carolina financial advisor Lisa Mantei (CRD# 2230735) recently received an investor complaint alleging her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as Cola Wealth Advisors.
John Drabek: Griffin Realty Complaint Against Calton Advisor
Mesa, Arizona financial advisor John Drabek (CRD# 1335813) recently received an investor complaint alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Calton & Associates, and that he is also registered with the firm’s offices in Tampa, Florida and East Lyme,… Read More »
Donna Payne: Montecito Financial Advisor Faces $40K Complaint
Summerland, California financial advisor Donna Payne (CRD# 1007323) allegedly made an improper investment recommendation, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that she is a broker and an investment advisor with Centaurus Financial, with her website describing her as the founder of Montecito Financial Services.
Aaron Werner: $450K Complaint Against Raymond James Advisor
A recent investor complaint against Pasadena, California financial advisor Aaron Werner (CRD# 4843116) alleges that his conduct resulted in losses exceeding $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates.
John Forrester: GWG Complaints Against Newbridge Advisor
Boca Raton, Florida financial advisor John Forrester (CRD# 728188) recently received an investor complaint alleging six-figure losses in connection with an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation.
Chapel Wealth Advisor Francis Carson: 7-Figure Investor Complaint
A recent investor complaint against Stratford, Connecticut advisor Francis Carson (CRD# 1494735) alleges that his investment advice resulted in damages of more than $1.4 million. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with Money Concepts Capital and an investment advisor with Money Concepts Advisory Service, doing business… Read More »
