A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in...
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Joseph Smith Jr.: Newbridge Advisor Lands $100K-$500K Complaint
Boca Raton, Florida financial advisor Joseph Smith Jr. (CRD# 428137) recently received an investor complaint alleging damages as high as $500,000. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation, having previously been registered with RM Stark & Company and The Strategic Financial Alliance.
Steve Liddell: UBS Advisor Receives $100K-$500K Options Complaint
Plano, Texas financial advisor Steve Liddell (CRD# 1509609) recently received an investor complaint alleging that an options overlay strategy was unsuitable. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website describes him as a member of the Liddell Wealth Management Group.
Norman Harp: BB Graham Advisor Faces $100K Complaint
A recent investor complaint against Leawood, Kansas financial advisor Norman Harp (CRD# 2480563) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with BB Graham & Company and an investment advisor with Retirement Resources, having previously been registered with Moloney Securities.
J.R. Thacker: $340K Complaint Against Thacker & Associates Advisor
Bristol, Virginia financial advisor J.R. Thacker (CRD# 2754773) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Center Street Securities, doing business as Thacker and Associates. He is an investment advisor with Arete Wealth Management.
Matias Cavalieri: $2.9mm complaint Against Morgan Stanley Advisor
Miami financial advisor Matias Cavalieri (CRD# 2972465) has received an investor complaint alleging his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, and that he received another investor complaint in 2020.
Morgan Stanley Advisor Juan Elwaw Faces $2.8mm Complaint
A recent investor complaint against Miami financial advisor Juan Elwaw (CRD# 2299668) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Sanctuary Advisor Bill Schellenberg: Private Placement Complaint
Aliso Viejo, California financial advisor Bill Schellenberg (CRD# 2376086) allegedly provided unsuitable investment advice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sanctuary Securities.
Craig Emerson: $215K Complaint Against Fourest Advisor
A recent investor complaint against Greenwood Village financial advisor Craig Emerson (CRD# 2761245) alleges that his conduct resulted in six0figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisor Networks, as well as a representative of Fourest LLC.
John Marmion: Ohio Sanctions UBS Financial Advisor
Columbus, Ohio financial advisor John Marmion Jr. (CRD# 1139175) allegedly violated Ohio law, according to a sanction by the state’s securities authorities. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s office in Phoenix, Arizona.
Jason Mieras: $250K Complaint Against American Portfolios Advisor
Lake Como, New Jersey financial advisor Jason Mieras (CRD# 2850648) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with American Portfolios Financial Services.
