Dallas, Texas financial advisor Ben Sweeney (CRD# 2885369) has received multiple investor complaints relating to an options strategy. Financial Industry...
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Kevin Dooley: Suitability Complaint Against Private Client Advisor
Miami, Florida financial advisor Kevin Dooley (CRD# 2513153) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Private Client Group.
Kade Osburn: $174K Complaint Against SEIA Advisor
Los Angeles, California financial advisor Kade Osburn (CRD# 7475893) allegedly provided unsuitable advice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate & Investment Advisors.
Dan McClory: Boustead, Sutter Advisor Faces $950K Complaint
A recent investor complaint against Irvine, California financial advisor Dan McClory (CRD# 1390780) 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 Sutter Securities and Sutter Capital Advisory, respectively, and that he is also registered as a… Read More »
Tom Chapman: Aragon Advisor Faces Suitability Complaint
Homewood, Alabama financial advisor Tom Chapman (CRD# 4837315) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that the former Equitable Advisors broker is currently registered as an investment advisor with Aragon Family Office.
Bryson Blackwell: Reg D Complaint Against Realta Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor Bryson Blackwell (CRD# 7423209) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Transe3nd, doing business as Waypoint 1031 DST Group and Wealth Strategies Advisory Group.
David Olsen: $582K Complaint Against Madison Avenue Advisor
Fort Lauderdale, Florida financial advisor David Olsen (CRD# 4823650) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Madison Avenue Securities broker is currently registered as an investment advisor with Global Wealth Management Investment Advisory.
Ryan Arnold: $400K Complaint Against LPL Advisor
Lake Mary, Florida financial advisor Ryan Arnold (CRD# 6876248) recently received an investor complaint alleging 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 LPL Financial, doing business as Ryan Arnold Wealth Management.
Marat Likhtenstein: Fraud Charges Against Ex-Osaic Advisor
Former Brooklyn, New York financial advisor Marat Likhtenstein (CRD# 2470480) allegedly perpetrated an offering fraud scheme, according to charges filed in September. Securities and Exchange Commission records show that he was most recently registered as an investment advisor with Osaic Wealth.
Mood ElAwadi: Wells Fargo Broker Fired, Faces 7-Figure Complaint
Former Orlando, Florida financial advisor Mood ElAwadi (CRD# 5319152) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Wells Fargo Clearing Services.
Anthony Cheng: FINRA Bars Fired Ameritas Advisor
Former San Jose financial advisor Anthony Cheng (CRD# 6242405) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Ameritas Investment Company, doing business as Thrive Wealth Solutions.
