Wellington, Florida financial advisor Dan Pikula (CRD# 2563165) recently received an investor complaint alleging that his conduct resulted in seven-figure...
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Tony King: UBS Advisor Faces Unauthorized Trading Allegations
A recent investor complaint against Clayton, Missouri financial advisor Tony King (CRD# 6012568) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Shalom Azar & Sandy Fischman: Morgan Stanley Advisors Face Complaint
Paramus, New Jersey financial advisors Shalom Azar (CRD# 7125424) and Sandy Fischman (CRD# 5902109) recently received an investor complaint alleging that they recommended an unsuitable investment. Financial Industry Regulatory Authority records show that they are each registered as a broker and an investment advisor with Morgan Stanley.
Thanasi Tomaras: RF Lafferty Advisor Lands $500K Complaint
New York City financial advisor Thanasi Tomaras (CRD# 2722538) 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 and an investment advisor with RF Lafferty & Company.
David Curry: $500K Complaint Against Arkadios Advisor
A recent investor complaint against Atlanta, Georgia financial advisor David Curry (CRD# 4506561) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Arkadios Capital and an investment advisor with East Paces Group.
Brent Pine: $250K Complaint Against CWM, Ex-Geneos Advisor
Scottsdale, Arizona financial advisor Brent Pine (CRD# 1618007) allegedly made improper investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cetera Advisor Networks broker is currently registered as an investment adviser with CWM, doing business as Carson Wealth.
Ahmad Quqa: $715K Complaint Against Ex-Edward Jones Advisor
Cary, North Carolina financial advisor Ahmad Quqa (CRD# 6737928) recently received an investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Private Client Services and an investment advisor with RFG Advisory, doing business as Crescent Private Wealth.
Henrique Lucena: Morgan Stanley Advisor Receives $1mm Complaint
A recent investor complaint against Coral Gables, Florida financial advisor Henrique Lucena (CRD# 5605196) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Laidlaw & Company, having previously been registered with Morgan Stanley.
Meredith Webber: FINRA Files Complaint Against Raymond James Advisor
Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry Regulatory Authority records show that she has previously been registered as a broker with Raymond James Financial Services and Ameriprise Financial Services.
Scot Barringer: American Trust Advisor Fined over GWG L Bond Sales
San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with American Trust Investment Services and an investment advisor with Chicago Capital Management Advisors.
Roger Nelson: Wells Fargo Advisors Faces CD Complaint
Santa Monica, California financial advisor Roger Nelson (CRD# 5527516) recently received an investor complaint 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 Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
