A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in...
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Aaron Werner: $450K Complaint Against Raymond James Advisor
A recent investor complaint against Pasadena, California financial advisor Aaron Werner (CRD# 4843116) alleges that his conduct resulted in losses exceeding $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates.
John Forrester: GWG Complaints Against Newbridge Advisor
Boca Raton, Florida financial advisor John Forrester (CRD# 728188) recently received an investor complaint alleging six-figure losses in connection with an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation.
Chapel Wealth Advisor Francis Carson: 7-Figure Investor Complaint
A recent investor complaint against Stratford, Connecticut advisor Francis Carson (CRD# 1494735) alleges that his investment advice resulted in damages of more than $1.4 million. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with Money Concepts Capital and an investment advisor with Money Concepts Advisory Service, doing business… Read More »
Calton Advisor Shawn Spellacy Receives $719K Complaint
Fair Oaks, California financial advisor Shawn Spellacy (CRD# 2275119) allegedly recommended investments that resulted in losses exceeding $700,000, according to a recent investor complaint against him. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Calton & Associates.
Derek Malone: $250K Complaint Against Infinex Advisor
New York City financial advisor Derek Malone (CRD# 5495233) has received multiple investor complaints alleging that he misrepresented investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Infinex Investments, having previously been registered with Essex National Securities.
Trey Garraway: Why Did FINRA Suspend Ex-Thrivent Advisor?
Hattiesburg, Mississippi financial advisor Trey Garraway (CRD# 7132872) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the ex-Thrivent Investment Management broker is currently an investment advisor with Simplified Wealth Management.
Andrew Kubicsko: Raymond James Advisor Faces $400K Complaint
A recent investor complaint against Chicago financial advisor Andrew Kubicsko (CRD# 861670) alleges that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates, and that he is also registered with the firm’s office in Lake Geneva,… Read More »
WPG Advisor Steve Gessner Receives Oil & Gas Complaint
Baltimore financial advisor Steve Gessner (CRD# 2650114) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Cambridge Investment Research broker is currently registered as an investment advisor with WPG Financial Group.
Luke Johnson: Ex-Coastal Advisor Named in FINRA Complaint
Former Scottsdale financial advisor Luke Johnson (CRD# 3257008) allegedly recommended unsuitable investments in GPB Capital and other products while falsifying his customers’ account information, according to an enforcement action filed this month by the Financial Industry Regulatory Authority. FINRA records show that the former Coastal Equities representative is not currently registered with any broker-dealer… Read More »
Barry Hesse: Did Thrivent Advisor Fail to Execute Sales?
A recent investor complaint against Jonesboro, Arkansas financial advisor Barry Hesse (CRD# 2652246) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Thrivent Investment Management.
