Columbus, Indiana financial advisor Joe Doggett (CRD# 1033987) has received multiple investor complaints alleging that his conduct resulted in losses....
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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.
Edward Yoon: Investors Complain About Ex-First Allied Advisor
Recent investor complaints against Pasadena financial advisor Edward Yoon (CRD# 2408137) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered with Cetera Advisors and Cetera Investment Advisers, and that he has been a representative of Harvest Financial. He is also registered with the firm’s offices in Rancho… Read More »
