Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
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Marc Laborde: Complaints Against Ex-UBS Advisor Settle for Millions
Investor complaints against Houston, Texas financial advisor Marc Laborde (CRD# 4975479) have settled for millions of dollars cumulatively. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Rockefeller Financial and Rockefeller Capital Management, respectively, having previously been registered with UBS Financial Services.
Mutual Fund Complaints Against Ted Boutis, Ameriprise Advisor
Mineola, New York financial advisor Ted Boutis (CRD# 2951760) is involved in investor complaints alleging misconduct in connection with investments in C-share mutual funds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Ex-Merrill Lynch Advisor Jacquin Fink: 12 Investor Complaints
Investor complaints against former New York City financial advisor Jacquin Fink (CRD# 207807) have settled for a cumulative sum of more than $3 million. Financial Industry Regulatory Authority records show that he was most recently a representative of Merrill Lynch, though he is not currently registered as a broker or as an investment advisor.
Simon Clarke: Options Overlay Complaint Against UBS Advisor
Recent investor complaints against Boston financial advisor Simon Clarke (CRD# 4232824) allege more than $1 million in cumulative damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, where he is also based out of the firm’s office in Wellesley, Massachusetts.
Ex-Cetera Advisor Brock Brady Lands $270K REIT Complaint
Former Bellevue, Washington financial advisor Brock Brady (CRD# 4638576) recently received an investor complaint alleging six-figure damages. 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 registered with Cetera Advisor Networks.
Ridgefield Advisor Shannon Powers Receives Investor Complaint
A recently filed investor complaint alleges that Ridgefield, Washington financial advisor Shannon Powers (CRD# 2367198) made unsuitable investment recommendations. Records provided by the Financial Industry Regulatory Authority show that Ms. Powers is a broker and investment advisor with Western International Securities, doing business as Powers Financial & Insurance Group.
Larry Stringer, Hendersonville Advisor, Lands Suitability Complaint
Multiple investor complaints against Capital Investment Group’s Larry Stringer (CRD# 1996822) allege misconduct relating to real estate investments. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor based in Hendersonville, North Carolina.
AG Saab: GWG L Bond Allegations against The Fig Group
Dallas, Texas financial advisor AG Saab (CRD# 408501) is involved in an investor complaint concerning purchases of GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sunbelt Securities. He was previously registered with The Fig Group in Dallas.
Paul Meyer: Did RBC Advisor Make Unauthorized Trades?
Paul Meyer (CRD# 3062534), an advisor based in Minnetonka, recently received investor complaints alleging he engaged in misconduct that resulted in losses. Records maintained by the Financial Industry Regulatory Authority, a private corporation overseeing its member broker-dealer firms, show that he is a broker and an investment advisor with RBC Capital Markets.
Rene Castro: Did Upland Advisor Sell Unsuitable GWG L Bonds?
A recent investor complaint against Upland, California financial advisor Rene Castro (CRD# 2559410) alleged that he recommended unsuitable GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with Great Point Capital in Chicago and an investment advisor with Retirement Wealth Management in Upland.
