Lexington, South Carolina financial advisor Jason Jeanquart (CRD# 6593478) recently received an investor complaint alleging that he misrepresented risky investments....
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Cetera Advisor Enkofi John Faces Forgery Complaint
Westbury, New York financial advisor Enkofi John (CRD# 6175076) recently received an investor complaint alleging his conduct resulted in damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Cetera Investment Services, having previously been registered with Foresters Advisory Services.
Elan Sanker: Selling Away Complaint Against Merrill Lynch Advisor
Pennington, New Jersey financial advisor Elan Sanker (CRD# 5580543) recently received an investor complaint alleging he engaged in misconduct that resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Jeffrey Lawson: Fifth Third Securities Denies $2.5 Million Complaint
A recent investor complaint against Florence, Kentucky financial advisor Jeffrey Lawson (CRD# 3257793) alleged that his conduct resulted in losses exceeding $2 million. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Fifth Third Securities.
LPL Advisor Brian Bates Faces ETF Complaint
Phoenix financial advisor Brian Bates (CRD# 2318413) is involved in an investor complaint alleging he failed to follow a customer’s instructions. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with LPL Financial, having previously been registered with PNC Investments.
Carol Lemoult: $625K Complaint Against Ex-Wells Fargo Advisor
Former Irvine, California financial advisor Carol Lemoult (CRD# 331681) allegedly over-concentrated investments in a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that the former Wells Fargo representative is currently not registered with any broker-dealer firm.
Peter Shen: $1.5 Million Complaint Against Former IFG Advisor
A recent investor complaint against Orange, California financial advisor Peter Shen (CRD# 5769894) alleges that his conduct resulted in damages exceeding $1 million. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with NI Advisors, having previously been registered with Independent Financial Group.
Matthew Stratman: Bond Complaint Against Western International Advisor
Los Angeles-area financial advisor Matthew Stratman (CRD# 5834026) is involved in an investor complaint alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority records indicate that he is currently registered as a broker and an investment advisor with Western International Securities, having previously been registered with Merrill Lynch.
Carolyn Valentine: $471K TIC Complaint Against Ex-H. Beck Advisor
A recent investor complaint against Canton, Ohio financial advisor Carolyn Valentine (CRD# 2532412) alleges that her conduct resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker registered with Cambridge Investment Research, having formerly been registered with H. Beck.
Bay Creek Acquisitions: Seven Charged in Alleged Tax Shelter Scheme
The US Department of Justice recently indicted seven individuals on charges they conspired to commit fraud in connection with the promotion and appraisal of syndicated conservation easements, including Bay Creek Acquisitions. According to a press release published by the DOJ on March 1, 2022, the individuals indicted are Jack Fisher, James Sinnott, Kate Joy,… Read More »
Raymond James Fires Jean Coulanges, Boca Raton Advisor
Boca Raton financial advisor Jean Coulanges (CRD# 7410568) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Raymond James representative is currently a broker and investment advisor with Alliance Global Partners.
