Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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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 »
Calton Advisor Shawn Spellacy Receives $719K Complaint
Fair Oaks, California financial advisor Shawn Spellacy (CRD# 2275119) allegedly recommended investments that resulted in losses exceeding $700,000, according to a recent investor complaint against him. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Calton & Associates.
Derek Malone: $250K Complaint Against Infinex Advisor
New York City financial advisor Derek Malone (CRD# 5495233) has received multiple investor complaints alleging that he misrepresented investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Infinex Investments, having previously been registered with Essex National Securities.
Trey Garraway: Why Did FINRA Suspend Ex-Thrivent Advisor?
Hattiesburg, Mississippi financial advisor Trey Garraway (CRD# 7132872) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the ex-Thrivent Investment Management broker is currently an investment advisor with Simplified Wealth Management.
Andrew Kubicsko: Raymond James Advisor Faces $400K Complaint
A recent investor complaint against Chicago financial advisor Andrew Kubicsko (CRD# 861670) alleges that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates, and that he is also registered with the firm’s office in Lake Geneva,… Read More »
WPG Advisor Steve Gessner Receives Oil & Gas Complaint
Baltimore financial advisor Steve Gessner (CRD# 2650114) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Cambridge Investment Research broker is currently registered as an investment advisor with WPG Financial Group.
