New York City financial advisor Mack Miller (CRD# 2822317) was recently sanctioned and suspended in connection with alleged excessive and...
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Thomas Lee: Raymond James Denies $250K Complaint Against Advisor
Rockville, Maryland financial advisor Thomas Lee (CRD# 2807587) received an investor complaint alleging that his conduct resulted in losses of $250,000. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Raymond James Financial Services.
Ron Filoramo: Barred Morgan Stanley Advisor Faces 6-Figure Complaints
Recent investor complaints against Fort Lauderdale financial advisor Ron Filoramo (CRD# 3270398) allege that his conduct resulted in combined damages of more than $800,000. Records maintained by the Financial Industry Regulatory Authority show that he was registered with Morgan Stanley until May 2023, while an industry publication states that he was barred by FINRA… Read More »
Raymond Sardiña: $1.5 Million Complaint Against Raymond James Advisor
Coral Gables financial advisor Raymond Sardiña (CRD# 3068885) allegedly recommended high-risk investments that led to seven-figure losses, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Raymond James & Associates.
Eric Dec: Did Ex-Emerson Equity Advisor Commit Fraud?
Former San Mateo financial advisor Eric Dec (CRD# 2185598) is involved in an investor complaint alleging he engaged in conduct that resulted in damages exceeding $100,000. Records maintained by the Financial Industry Regulatory Authority show that he was most recently registered as a broker with Emerson Equity. Mr. Dec’s BrokerCheck report discloses one investor… Read More »
Michael Fisher: Ameriprise Advisor Faces $100K Complaint
A recent investor complaint against Melville, New York financial advisor Michael Fisher (CRD# 4056114) alleges that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Wells Fargo Advisors.
Bill Borleis: GWG Complaint Against Arete Wealth Advisor
Nashville-area financial advisor Bill Borleis (CRD# 2285245) recently received an investor complaint alleging losses stemming from an investment in GWG Holdings. Financial Industry Regulatory Authority records show that the Spring Hill, Tennessee representative is currently registered as a broker and an investment advisor with Arete Wealth.
James Mayes: Western International Advisor Faces $100K Bond Complaint
Woodland Hills, California financial advisor James Mayes (CRD# 2879995) is involved in an investor complaint alleging his conduct resulted in six-figure losses. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Western International Securities.
Steven Karol: Ex-Joseph Stone Advisor Receives $141K Complaint
New York financial advisor Steven Karol (CRD# 7192377), also known as Szczepan Kosmaczewski and Steven Kostis, recently received an investor complaint alleging he made unauthorized transactions. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Craft Capital Management, having previously been… Read More »
Shaun Floresca: $85K Complaint Against Alliant Advisor
A recent investor complaint against Chicago financial advisor Shaun Floresca (CRD# 4758697) alleges that he recommended an unsuitable investment, resulting in losses. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with LPL Financial, doing business as Alliant Retirement and Investment Services.
Mahany Ortiz: Ex-Raymond James Advisor Faces $400K Northstar Complaint
New York City financial advisor Mahany Ortiz (CRD# 4649349) is involved in an investor complaint alleging that she recommended an investment in Northstar Financial Services that resulted in six-figure losses. Records provided by the Financial Industry Regulatory Authority show that she is currently registered as a broker with Flourish Financial, having previously been registered… Read More »
