Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Felipe Henao: Insigneo Advisor Fined over Trading Allegations
A recent sanction against former Miami financial advisor Felipe Henao (CRD# 5140431) alleges that he made unauthorized transactions in a customer account. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Insigneo Securities, doing business as GCH Advisors.
Ron Bucher: FINRA Bars Ex-Pinnacle Advisor
Former Fort Myers financial advisor Ron Bucher (CRD# 1804910) was recently sanctioned in connection with allegations he refused to cooperate with an investigation. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with San Blas Securities and Pinnacle Investment.
Marc Rankin: Woodmen Financial Advisor Barred by FINRA
Former Columbia, South Carolina financial advisor Marc Rankin (CRD# 5534121) was recently sanctioned in connection with allegations he refused to cooperate with an investigation into alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Woodmen Financial Services.
Jeffrey Russell: FINRA Suspends Kovack, Russell Wealth Advisor
Former Morgan Stanley broker Jeffrey Russell (CRD# 2516610) was recently sanctioned in connection with allegations that he effected unauthorized mutual fund transactions in hundreds of customers’ accounts. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Kovack Advisors in San Clemente, California…. Read More »
Jonna Keller: $300K Complaint Against Ex-Sigma Advisor
Sarasota financial advisor Jonna Keller (CRD# 1983864) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, as well as a managing partner at First Security Investments.
Ryan Beishuizen: Fox Financial Advisor Lands Bond Complaint
Muskegon, Michigan financial advisor Ryan Beishuizen (CRD# 4884554) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Securities America, doing business as Fox Financial.
David Glienke: $100K Complaint Against ClearCoast Wealth Advisor
A recent investor complaint against Westlake Village, California financial advisor David Glienke (CRD# 5502866) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities, doing business as ClearCoast Wealth Management.
Darren Ting: FINRA Suspends Ex-JP Morgan Advisor
Former Cleveland financial advisor Darren Ting (CRD# 6814035) was recently suspended by FINRA in connection with allegations he made unauthorized discretionary trades. Financial Industry Regulatory Authority records show that the former JP Morgan Securities broker is currently registered as an investment advisor with Farther Finance Advisors.
Adam Cavise: Investor Complaint Against Ex-Spartan Advisor
New York City financial advisor Adam Cavise (CRD# 4273848) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Revere Securities, having previously been registered with Spartan Capital Securities.
Brian Mariash: UBS Advisor Lands Annuity Complaint
Sarasota, Florida financial advisor Brian Mariash (CRD# 4371979) allegedly recommended unsuitable equity-indexed annuities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.
