Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Rocky Binkowski: $165K Complaint Against Ex-Arete Advisor
A recent investor complaint against Carlsbad, California financial advisor Rocky Binkowski (CRD# 4814174) alleges 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 Ameriprise Financial Services, having previously been registered with Axxcess Wealth Management and Arete Wealth Management.
Matt Westberry: SCF Advisor Faces Suitability Complaint
Marion, Iowa financial advisor Matt Westberry (CRD# 4908745) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former SCF Securities broker is currently registered as an investment advisor with Secure Asset Management and the owner of Westberry Wealth Management.
Jonathan Blount: LPL Advisor Receives $192K ETF Complaint
Rustin, Louisiana financial advisor Jonathan Blount (CRD# 5700831) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Blount Financial Stewards.
Daniel Zlotnick: Suitability Complaint Against Ex-Kestra Advisor
A recent investor complaint against Melville, New York financial advisor Daniel Zlotnick (CRD# 1177472) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Osaic Wealth broker is currently registered as an investment advisor with OneDigital.
TJ Kroehle: Suitability Complaint Against Ex-Kestra Advisor
Addison, Texas financial advisor TJ Kroehle (CRD# 4388363) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, doing business as Income By Design.
Brad Katzer: Lake Financial Advisor Faced Trading Complaint
A recent, denied investor complaint against Port Washington, Wisconsin financial advisor Brad Katzer (CRD# 6627091) alleged that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Lake Financial.
Michael Sullivan: Options Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Mateo, California financial advisor Michael Sullivan (CRD# 6546863) 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 Morgan Stanley.
Kevin Wright: $1mm Complaint Against Rockefeller Advisor
Houston, Texas financial advisor Kevin Wright (CRD# 6344931) has received multiple investor complaints alleging that his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Rockefeller Financial and Rockefeller Capital, respectively.
Trevor Uhls: FINRA Bars Former MML Advisor
Former MML Investors Services representative Trevor Uhls (CRD# 6872250) has been sanctioned and barred by the Financial Industry Regulatory Authority in connection with alleged rule violations. FINRA records show that he is a former associated person no longer registered with a FINRA member firm.
Jordan Grangard: RBC, Ex-UBS Advisor Faces Improper Trading Complaint
Las Vegas financial advisor Jordan Grangard (CRD# 6097246) allegedly failed to follow client instructions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets, whose website shows that he is Managing Director of the Grangard Private Wealth… Read More »
