San Francisco, California financial advisor Anthony Clifford (CRD# 6285441) recently received an investor complaint alleging that his advice resulted in...
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Thomas Duggan: Ex-Aegis Advisor Allegedly Committed Elder Abuse
Former Melville, New York financial advisor Thomas Duggan (CRD# 2757615) has received investor complaints alleging unauthorized trading, elder abuse, and other forms of misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he was most recently registered as a broker with Aegis Capital.
Brandon Leon: $336K Private Placement Complaint Against PHX Advisor
New York City financial advisor Brandon Leon (CRD# 5200595) is involved in an investor complaint alleging unsuitable investment recommendations that resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker with PHX Financial.
Samuel Ingram: Oil & Gas Complaint Against Ex-JW Cole Advisor
A recent investor complaint against former Tempe, Arizona financial advisor Samuel Ingram (CRD# 2622115) alleges six-figure damages connected to an oil and gas investment. Financial Industry Regulatory Authority records show that Mr. Ingram is not currently registered as a broker or an investment advisor, though he was most recently registered with JW Cole Financial…. Read More »
CBCLife’s Joyce Liang Receives GWG L Bond Complaint
Daly City, California financial advisor Joyce Liang (CRD# 6860076) is involved in an investor complaint involving an investment in GWG L bonds. Records provided by the Financial Industry Regulatory Authority show that she is a broker with NI Advisors and a representative of CBCLife Financial Services.
Richard “RK” Robertson: SEC Sanctions Former IFP Advisor
The Securities and Exchange Commission recently barred former San Diego advisor Richard “RK” Robertson (CRD# 2233786) in connection with allegations he engaged in a fraudulent “cherry-picking” scheme. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or as an investment advisor, though he was previously registered with Independent… Read More »
Matthew Franchina: $100K Negligence Complaint Against Moloney Advisor
Matthew Franchina (CRD# 5987117), a financial advisor in Manchester, Missouri, recently received an investor complaint alleging he was negligent in his duties. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Moloney Securities and an investment advisor with Moloney Securities Asset Management
Christina Silvius: Was Financial Solutions Advisor Negligent?
Investor complaints against Kansas City, Missouri financial advisor Christina Silvius (CRD# 4559574) allege that she acted negligently and recommended unsuitable investments. Records maintained by the Financial Industry Regulatory Authority indicate that Ms. Silvius is a broker and an investment advisor with Moloney Securities, doing business as Advanced Financial Solutions.
Kelvin Wong: Did Ex-Cetera Advisor Over-Concentrate Client Account?
Former Jersey City financial advisor Kelvin Wong (CRD# 6100689) is involved in an investor complaint alleging that unsuitable investment recommendations led to six-figure losses. Records provided by the Financial Industry Regulatory Authority show that Mr. Wong is not currently registered as a broker or as an investment adviser, though he was most recently affiliated… Read More »
David Giegerich: $100K Complaint Against Ex-Paradigm Wealth Advisor
Former Bridgewater, New Jersey financial advisor David Giegerich (CRD# 2795115) is involved in an investor complaint alleging he provided unsuitable advice and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is not currently registered as a broker, though he was previously registered with LPL Financial, doing business as… Read More »
Jennifer Medlin: Fifth Third Denies Structured Note Complaint
Jennifer Medlin (CRD# 6542270), a financial advisor based in Fort Wayne, was recently involved in an investor complaint alleging she provided incomplete information about an investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Fifth Third Securities.
