Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Mohammed Karim: FINRA Bars Former Truist Advisor
Former Lakeland, Florida financial advisor Mohammed Karim (CRD# 4419277) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Truist Investment Services.
Mike Gestone: $1mm Complaint Against Greenbird Capital Advisor
A recent investor complaint against Boca Raton, Florida financial advisor Mike Gestone (CRD# 5984302) alleges seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Greenbird Capital, having previously been registered with National Securities Corporation.
Steven Goethel: Misrepresentation Complaint Against Merrill Advisor
Jupiter, Florida financial advisor Steven Goethel (CRD# 5861475) allegedly made material misrepresentations about investments he recommended, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Mark Yadron: $200K Complaint Against Kestra Advisor
Prescott, Arizona financial advisor Mark Yadron (CRD# 1520648) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Kestra Investment Services, doing business as American Wealth Management.
Andy Martz: $50K Bond Complaint Against LPL Advisor
Southlake, Texas financial advisor Andy Martz (CRD# 5118326) allegedly recommended an investment that was not in his client’s best interest, 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 WIS Advisors.
Craig Fernsler: McDermott Advisor Lands $300K DST Complaint
Naples, Florida financial advisor Craig Fernsler (CRD# 5558907) recently received an investor complaint alleging that a Delaware Statutory Trust investment resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
Andrew Spaventa: SEC Investigates TSG Advisor
Ronkonkoma, New York financial advisor Andrew Spaventa (CRD# 6175466) is under investigation by the Securities and Exchange Commission for alleged misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with TSG Capital Advisors and an investment advisor with TSG Alpha Partners.
Troy Thomas: $400K DST Complaint Against McDermott Advisor
A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
John Noonan: Merrill Advisor Receives Misappropriation Complaint
Virginia Beach, Virginia financial advisor John Noonan (CRD# 4425914) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ronny Banerjee: Why Was Chelsea Advisor Fired by Voya?
Staten Island, New York financial advisor Ronny Banerjee (CRD# 3112832) was recently fired by his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Voya Financial Advisors representative is currently registered as a broker with Chelsea Financial Services.
