Former New York City and Miami financial advisor Chuck Roberts (CRD# 2064602) was recently sanctioned and barred in connection with...
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Walter León: Citi Denies Complaint Against Miami Advisor
Miami financial advisor Walter León (CRD# 5872460) allegedly over-concentrated investments in a client’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, having been a representative of Citigroup Global Markets until July 2022.
Ex-Intervest Advisor John Schlagheck: GWG L Bond Complaints
Recent investor complaints against McDonough, Georgia financial advisor John Schlagheck (CRD# 1040673) allege that investments in GWG L bonds resulted in damages exceeding half a million dollars. Financial Industry Regulatory Authority records show that he is a broker with Cape Securities, having previously been registered with Intervest International Equities Corporation.
Phil Sherrill: Oil & Gas Complaint Against Cambridge Advisor
Cornelius, North Carolina financial advisor Phil Sherrill (CRD# 1160379) recently received an investor complaint concerning an oil and gas investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research. having previously been registered with Securities Service Network.
Edward Stike: $750K Complaint Against Stike Wealth Advisor
Charleston, West Virginia financial advisor Edward Stike (CRD# 1439479) recently received an investor complaint alleging six-figure damages stemming from investments in equities and bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Stike Wealth Enhancement Group.
Altius Financial’s John Dixon Receives $250K Complaint
A recent investor complaint against Pocatello, Idaho financial advisor John Dixon (CRD# 4239339) alleges misrepresentation and suitability violations. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Independent Financial Group, doing business as Altius Financial Group.
Bilo Bouab: $776K Complaint Against American Portfolios Advisor
Red Bank, New Jersey financial advisor Bilo Bouab (CRD# 4340284) recently received an investor complaint alleging damages exceeding $700,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Garden State Securities and Garden State Investment Advisory Services, respectively. He is also known as Nabil Bouab.
Certior Financial’s Gary Gallagher: FS Energy & Power Complaint
King of Prussia financial advisor Gary Gallagher (CRD# 5745751) alleged misrepresented an investment in FS Energy & Power Fund, according to a new investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Mutual Securities and an investment advisor with Certior Financial Group.
Did Marvel Wealth’s Matthew Lamb Recommend Unsuitable ETFs?
A recent investor complaint involving Melbourne, Florida financial advisor Matthew Lamb (CRD# 6040125) alleges damages of more than half a million dollars. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with LPL Financial, doing business as Marvel Wealth Management.
Jason Kimber: Former Allegis Advisor Denies $10.5mm Complaint
Former Allegis Investment Services advisor Jason Kimber (CRD# 6244188) recently received an investor complaint alleging eight-figure damages stemming from an allegedly fraudulent scheme. Financial Industry Regulatory Authority records show that he is currently a representative of JW Cole Financial in Logan, Utah.
Woody Financial’s Jake Kauzlarich Lands $462K Investor Complaint
A recent investor complaint against Olathe, Kansas financial advisor Jake Kauzlarich (CRD# 5096866) alleges damages of more than $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Park Avenue Securities, while his firm’s website indicate that he is a representative of The Woody Financial Group.
