Hackensack, New Jersey financial advisor Solomon Tobal (CRD# 7643877) recently received an investor complaint alleging that his conduct resulted in...
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Richard Reames: Robert W. Baird Denies Churning Complaint
Richard Reames (CRD# 712401), a financial advisor based in Ashland, Kentucky, recently received an investor complaint alleging his conduct led to damages exceeding $200,000. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker and an investment advisor with Robert W. Baird & Company.
Investor Files Complaint Against Karen March, Coastal Equities Advisor
A recent investor complaint against Roswell, Georgia financial advisor Karen March (CRD# 4021533) alleges she provided misleading information about the investments she recommended. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Coastal Equities.
Eric Afakan: Why Did Cambridge Investment Research Broker Resign?
Former Cambridge Investment Research broker Eric Afakan (CRD# 2563297) recently resigned from the firm in connection to alleged violations of firm rules. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he remains an investment advisor with International Assets Investment Management. He is also a managing member of Signature Financial Group.
Offshore Annuity Complaint Against Infinex’s Eric Garcia
Coral Gables financial advisor Eric Garcia (CRD# 5909532) allegedly recommended an unsuitable annuity, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Infinex Investments, and that he is also a financial consultant with Popular Community Bank.
Charles Zheng: Investor Alleges Wells Fargo Advisor Borrowed Money
A recent investor complaint against San Ramon, California financial advisor Charles Zheng (CRD# 5517193) alleges that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that Mr. Zheng is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services.
GWG Complaint Against Tim Hucks, Rising Tide Advisor
An investment in GWG Holdings is at issue a recent investor complaint lodged against Tim Hucks (CRD# 1023012), a financial advisor based in Chapel Hill, North Carolina. Records provided and maintained by the Financial Industry Regulatory Authority reveal that Mr. Hucks is a representative of Capital Investment Group and the owner and president of… Read More »
Burks Financial’s Bill Burks Lands New Investor Complaint
Flower Mound, Texas financial advisor Bill Burks (CRD# 2944992) allegedly recommended unsuitable investments, according to multiple recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as The Burks Financial Group.
Margin Complaint Against North Atlantic’s Steve Hollingsworth
A new investor complaint against Steve Hollingsworth (CRD# 1328648) alleges that the Newton, Massachusetts financial advisor made unauthorized trades. Records maintained by the Financial Industry Regulatory show that the Raymond James Financial Services broker has received multiple other complaints over the course of his career in the securities industry. He operates as a representative… Read More »
Virgil Folden: GWG L Bond Complaint Against Fredericksburg Advisor
An investment in GWG Holdings gave rise to a new investor complaint against Fredericksburg, Virginia representative Virgil Folden (CRD# 1067585), also known as Val Folden. Records provided by the Financial Industry Regulatory Authority reveal that Mr. Folden is a broker with Saxony Securities and an investment advisor with Fredericksburg Financial Planning Services.
Investor Files Complaint About Scottsdale Advisor Bryson Fisher
Bryson Fisher (CRD# 5676494), a financial advisor with Vanguard Marketing Corporation and Vanguard Advisers, is the recipient of a recent investor complaint. Records provided by the Financial Industry Regulatory Authority, which oversees its member broker-dealer firms, show that he is a broker and an investment advisor based in Scottsdale, Arizona.
