A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in...
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Frank Kuiper: $1mm-$5mm Complaint Against Financial Designs Advisor
San Diego financial advisor Frank Kuiper (CRD# 1774282) allegedly committed fraud, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Concorde Investment Services and an advisor with Concorde Asset Management, doing business as Financial Designs.
Gustavo Miramontes: 6-Figure Complaint Against Oppenheimer Advisor
An investor complaint against Los Angeles financial advisor Gustavo Miramontes (CRD# 2338966) alleges that his conduct resulted in damages of more than $150,000. Financial Industry Regulatory Authority records show that he is a broker registered with Oppenheimer & Company, having previously been registered with Wedbush Securities and Wells Fargo Advisors.
Joseph Audia: VCS Advisor Lands $295K Suitability Complaint
Hauppage, New York financial advisor Joseph Audia (CRD# 2909761) recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Securities and that he was previously registered with Joseph Stone Capital.
Max Elson Jr.: $635K Complaint Against Morgan Stanley Advisor
Champions Gate, Florida financial advisor Max Elson Jr. (CRD# 4430278) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Marty Valade: Woodbury Advisor Faces $300K Complaint
A recent investor complaint against Cypress, California financial advisor Marty Valade (CRD# 1532673) 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 Woodbury Financial Services, doing business as Murphy Financial Services.
iCap Equity Files for Bankruptcy
The Chief Executive Officer of iCap Equity, a Bellevue-based equity fund, announced his departure from the company in a letter sent to investors last month. This marks the latest in a series of challenges for the alternative investment firm, whose offerings include the iCap Vault I LLC, the iCap Pacific Income V LLC, and… Read More »
Talin Kalaydjian: $50K-$100K Complaint Against Western Advisor
Westlake Village, California financial advisor Talin Kalaydjian (CRD# 6674529) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Western International Securities.
John Franzino: Forgery Complaint Against J&M Financial Advisor
An investor complaint against Massapequa, New York financial advisor John Franzino (CRD# 4734949) alleges misconduct in connection with insurance sales. Financial Industry Regulatory Authority records show that he is a broker with Ameritas Investment Company and the owner of J&M Financial Services, having previously been registered with NYLife Securities.
Tim Campbell: Fired MML Advisor Faces Complaint
Boca Raton financial advisor Tim Campbell (CRD# 3046265) recently received an investor complaint alleging discrepancies in account forms. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation, having previously been registered with MML Investors Services.
Andrew Pesner: 6-Figure Complaint Against VCS Advisor
A recent investor complaint against Hauppage, New York financial advisor Andrew Pesner (CRD# 1971579) alleges that his advice resulted in damages of more than $250,000. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Services, having previously been registered with Joseph Stone Capital.
