Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Cheri Knight: $500K Complaint Against Strategic Financial Alliance
Foothill Ranch, California financial advisor Cheri Knight (CRD# 1854248) recently received an investor complaint alleging that unsuitable investments resulted in six-figure losses. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor registered with The Strategic Financial Alliance, doing business as Knight Asset Management.
Lance Vainik: Viking Financial Advisor Received $441K Complaint
A recent, denied investor complaint against Bingham Farms, Michigan financial advisor Lance Vainik (CRD# 1708526) alleged that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services, as well as the owner of Viking Financial Group.
Shaun Stein: $722K Complaint Against Ex-National Securities Advisor
Jersey City financial advisor Shaun Stein (CRD# 4873578) 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 with B. Riley Wealth Management, having previously been registered with National Securities Corporation.
Joey Hobbs: $235K Complaint Against Cetera, Ex-LPL Advisor
Dallas financial advisor Joey Hobbs (CRD# 5092184) recently received an investor complaint alleging his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Cetera Investment Services and an advisor with Cetera Investment Advisors, as well as the owner of Financial Vision Consulting.
Kerrie Coe: Regions Bank Advisor Received Structured Product Complaint
A recent, denied investor complaint against Indianapolis financial advisor Kerrie Coe (CRD# 4951159) alleged that she provided poor advice. Financial Industry Regulatory Authority records show that she is a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisors, operating as a representative of Regions Bank.
Nick Hamilton: Hamilton Group Advisor Faces $255K Complaint
A recent investor complaint against Greenwood Village, Colorado financial advisor Nick Hamilton (CRD# 4900895) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as The Hamilton Group.
John Corello: Janney Advisor Receives Closed-End Fund Complaint
Allentown, Pennsylvania financial advisor John Corello (CRD# 1407750) recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Janney Montgomery Scott, whose website shows that he is a member of KLC Wealth Advisory.
Ibrahim Kurtulus: Joseph Stone Advisor Lands $875K Complaint
A recent investor complaint against New York City financial advisor Ibrahim Kurtulus (CRD# 2287372) alleges that he made unsuitable trades and improperly used margin. Financial Industry Regulatory Authority records show that he is a broker with Joseph Stone Capital, having previously registered with Windsor Street Capital.
B. Riley Advisors Charlie Hartley, Roger Follis Face $2.6mm Complaint
Washington, DC financial advisors Charlie Hartley (CRD# 2658276) and Roger Follis (CRD# 2653439) recently received an investor complaint alleging that their conduct led to more than $2 million in damages. Financial Industry Regulatory Authority records show that they are representatives of B. Riley Wealth Management, operating under the name Follis Hartley Group.
Richard Calabrese: $9.9mm Complaint Against Corinthian Advisor
New York City financial advisor Richard Calabrese (CRD# 1549013) recently received an investor complaint alleging that his conduct resulted in damages of more than $9 million. Financial Industry Regulatory Authority records show that he is a broker with Corinthian Partners.
