Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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William Notrica: Ex-RBC Advisor Faces Suitability Complaint
San Juan Capistrano financial advisor William Notrica (CRD# 817537) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the Aegis Capital broker and investment advisor was recently fired by RBC Capital Markets.
David McMillen: $75K-$125K Complaint Against Foundation Wealth Advisor
Boulder financial advisor David McMillen (CRD# 1198070) is involved in an investor complaint alleging his investment advice resulted in five- to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Crown Capital Securities, doing business as Foundation Financial and Foundation Wealth Management.
Alan Pransky: $50K-$100K Complaint Against Pransky Financial Advisor
Peabody, Massachusetts financial advisor Alan Pransky (CRD# 1399836) allegedly recommended an unsuitable corporate bond investment, according to a recent investor complaint filed against him. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with LifeMark Securities Corporation, doing business as the Pransky Financial Group.
Fleming Financial’s Sean Fleming: $483K Award in Investor Complaint
A recent investor complaint against Mesa, Arizona financial advisor Sean Fleming (CRD# 6516544) resulted in a six-figure award to the customer. Records provided by the Securities and Exchange Commission show that he is currently registered as an investment advisor with Fleming Financial Services.
Gene Theobald: RBC Advisor Faces Misrepresentation Complaint
A recent investor complaint against Houston financial advisor Gene Theobald (CRD# 1235214) alleges misconduct relating to risky investments. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with RBC Capital Markets, having previously been registered with Morgan Stanley.
Adam Corwin: Complaint Against MML Advisor Alleges Fraud
Atlanta financial advisor Adam Corwin (CRD# 6650208) is involved in an investor complaint alleging the unsuitable recommendation of fraudulent investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with MML Investors Services, having previously been registered with OneAmerica Securities.
James Warring: EagleStone Wealth Advisor Faces $4.5mm Complaint
A recent investor complaint against Rockville, Maryland financial advisor James Warring (CRD# 3198200) alleges that his conduct resulted in damages of more than $4 million. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker with DAI Securities and an investment advisor with EagleStone Wealth Advisors.
Chuck Timmerman: $400K Complaint Against US Bancorp Advisor
Green Bay, Wisconsin financial advisor Chuck Timmerman (CRD# 4463425) recently received an investor complaint alleging his conduct resulted in damages of $400,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with US Bancorp Investments, having previously been registered with JP Morgan Securities.
Adam Brown: WestPark Advisor Faces $351K Investor Complaint
Recent investor complaints against Boca Raton financial advisor Adam Brown (CRD# 4506309) allege that he breached his fiduciary duty and acted negligently. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with WestPark Capital, having previously been registered with Newport Coast Securities.
Lawrence Krause: Complaint Against BB Graham Advisor Settles for $125K
A recent investor complaint against Larkspur, California financial advisor Lawrence Krause (CRD# 275153) reached a settlement of $125,000. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with BB Graham & Company. He is also a broker with KW Securities Corporation and… Read More »
