Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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Ryan Bell: Excessive Trading Complaint Against Stifel Advisor
Dallas, Texas financial advisor Ryan Bell (CRD# 3100068) allegedly made excessive trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus, having previously been registered with Merrill Lynch.
Jeff Sime: IPO Complaint Against Atlas Clearing Advisor
Salt Lake City, Utah financial advisor Jeff Sime (CRD# 1554798) recently received an investor complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Atlas Clearing, having previously been registered with Lime Trading Corporation.
Trevor Flota: Northwestern Advisor Lands Suitability Complaint
A recent investor complaint against Clayton, Missouri financial advisor Trevor Flota (CRD# 6468726) alleges that he made misrepresentations and unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
Shawn Steadman: David Lerner Advisor Faces $50K Complaint
A recent investor complaint against White Plains, New York financial advisor Shawn Steadman (CRD# 6534547) alleges that he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates.
Robert Burns: $200K Complaint Against Ausdal Advisor
A recent investor complaint against Independence, Ohio financial advisor Robert Burns (CRD# 1286211) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Ausdal Financial Partners and an investment advisor with Burns Financial Advisors.
Kurt Mattson: Former Northwestern Advisor Receives $418K Complaint
Atlanta, Georgia financial advisor Kurt Mattson (CRD# 2738627) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual Investment broker is currently registered as an investment advisor with CWM.
Warren Prehmus: BIP Wealth Advisor Faces $1.8mm Complaint
Peachtree Corners and Norcross, Georgia financial advisor Warren Prehmus (CRD# 1875927) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The Strategic Financial Alliance and an investment advisor with BIP Wealth, doing business as Prehmus Financial Partners.
Melissa Williams: Star Financial Advisor Lands $500K Bond Complaint
A recent investor complaint against Spokane, Washington financial advisor Melissa Williams (CRD# 4298503) alleges that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, doing business as Star Financial.
Eddie MacPhee: Selling Away Allegations Against Gallagher Advisor
San Diego, California financial advisor Eddie MacPhee (CRD# 5476050) 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 Secure Investment Management representative is currently registered as an investment advisor with Gallagher Fiduciary Advisors.
Walter Putnam: Northwestern Advisor Faced $65K Complaint
A recent, denied investor complaint against Tampa, Florida financial advisor Walter Putnam (CRD# 1274433) alleged that he recommended an unapproved investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
