Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
Read MoreCategory Archives: Uncategorized
Maria Calcena: Osaic Advisor Receives $500K Complaint
A recent investor complaint against Palm Beach, Florida financial advisor Maria Calcena (CRD# 6348974) alleges that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with Osaic Institutions.
Ken Marable: Pruco Denied Complaint Against LPL Advisor
A recent, denied investor complaint against Brooklyn, New York financial advisor Ken Marable (CRD# 2311940) alleged that his investment advice led to damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Enterprise, doing business as Marable Wealth Holdings.
Julius Agbonbhase: Morgan Stanley Advisor Lands Suitability Complaint
San Jose, California financial advisor Julius Agbonbhase (CRD# 5591820) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Drew Reynolds: $280K Complaint Against Realized Financial Advisor
Austin, Texas financial advisor Drew Reynolds (CRD# 6646813) 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 with Realized Financial, having previously been registered with WealthForge Securities.
David Burns: Cetera Advisor Faces Suitability Complaint
A recent investor complaint against Farmington, Utah financial advisor David Burns (CRD# 4785623) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera, doing business as Burns & Associates.
Michael Taylor: Why Did Seren Advisor Resign from Ameriprise?
Fort Lauderdale, Florida financial advisor Michael Taylor (CRD# 4900554) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Ameriprise Financial Services broker is currently registered as an investment advisor with Seren Wealth Advisors.
Randy Wilson: Edward Jones Advisor Faces Regulatory Complaint
Murfreesboro, Tennessee financial advisor Randy Wilson (CRD# 6180467) has been named in a pending regulatory enforcement action alleging that he acted negligently. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Manuel Lozano: Stifel Advisor Lands New Investor Complaint
Pasadena, California financial advisor Manuel Lozano (CRD# 1004483) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus.
Mark Raghunandan: Investor Complaint Against Merrill Lynch Advisor
A recent investor complaint against Oceanside, New York financial advisor Mark Raghunandan (CRD# 7084686) alleges that he violated industry standards. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Steve Hooks: $1.5mm Complaint Against JP Morgan Advisor
New Orleans, Louisiana financial advisor Steve Hooks (CRD# 5020190) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
