Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreCategory Archives: Uncategorized
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.
Former NFLPA Registered Financial Advisor Resigns After Allegations
Mark Panfil, a financial advisor who was registered with the NFLPA as recent as 2022, resigned from Morgan Stanley. His LinkedIn profile indicates that he was formerly a Director in Morgan Stanley’s Sports and Entertainment program. According to his BrokerCheck report, Panfil had an “Employment Separation After Allegations” which was classified as a “Voluntary… Read More »
Morgan Stanley Advisor David Jack: Structured Product Complaint
Paramus, New Jersey financial advisor David Jack (CRD# 2415526) is involved in an investor complaint alleging he recommended unsuitable investments. Records provided by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with UBS Financial Services.
Mariner Wealth’s Cara Miller: Atlas Growth Complaint Settles for $208K
A recent investor complaint against Highlands Ranch, Colorado financial advisor Cara Miller (CRD# 4521819) includes allegations regarding an investment in Atlas Growth Partners. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that she was most recently registered as a broker with ProEquities and that she is currently registered as an investment… Read More »
Michael Coughlin: $500K Complaint Against Ex-Morgan Stanley Advisor
Former Stamford, Connecticut financial advisor Michael Coughlin (CRD# 2055946) recently received an investor complaint alleging damages of half a million dollars. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley.
Thomas Ren: BDC Complaint Against Bull & Bear Financial Advisor
Roaring River, North Carolina financial advisor Thomas Ren (CRD# 2729198) recently received an investor complaint alleging 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 Bull & Bear Financial Outfitters.
Ben Sutak, ThinkEquity Advisor, Receives $296K Complaint
New York City financial advisor Ben Sutak (CRD# 5580389) allegedly engaged in unauthorized trading and other forms of misconduct, according to a recent investor complaint. Financial Industry Regulatory Authority show that he is a broker with ThinkEquity, having previously been registered with WestPark Capital.
Former OneAmerica Advisor Tico Martinez: Oil & Gas Complaint
A recent investor complaint against former Austin, Texas financial advisor Tico Martinez (CRD# 4286086) alleges misconduct relating to an oil and gas limited partnership. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or as an investment advisor, though he was most recently affiliated with OneAmerica Securities.
