Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Investment Center of Estes Park’s Jeffrey Morris: $150K Complaint
Recent investor complaints against Estes Park, Colorado financial advisor Jeffrey Morris (CRD# 2478499) allege that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Investment Center of Estes Park.
Michael Keen: Vanguard Closed Complaint Against Charlotte Advisor
Charlotte, North Carolina financial advisor Michael Keen (CRD# 6585665) was recently involved in an investor complaint alleging his conduct resulted in five-figure losses. Records maintained by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Vanguard Advisers broker is currently an investment advisor with Byron Financial.
SouthState Advisor Stacy Cannon: $498K Annuity Complaint
Charleston, South Carolina financial advisor Stacy Cannon (CRD# 2372109) recently received an investor complaint alleging misconduct relating to variable annuity investments. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with LPL Financial, doing business as SouthState Investment Services.
J. Craig McIlroy: Lincoln Financial Advisor Receives $200K Complaint
Denver financial advisor J. Craig McIlroy (CRD# 1422508), also known as Craig McIlroy, recently received an investor complaint alleging six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Lincoln Financial Advisors Corporation.
David Simon: Bond Complaints Against Western International Advisor
Recent investor complaints against Crystal Bay, Nevada financial advisor David Simon (CRD# 1064191) allege that he made unsuitable investment recommendations or provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities.
IFP Advisor Walter Ickert: GWG L Bond Complaint
Ridgeland, South Carolina financial advisor Walter Ickert (CRD# 254588) has received two investor complaints alleging misconduct connected to investments in L bonds issued by GWG Holdings. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with IFP Securities, doing business as Walter Ickert and Associates.
James Armour: Oil & Gas Complaint Against Armour Capital Advisor
Wayzata, Minnesota financial advisor James Armour (CRD# 705645) has been involved in investor complaints, one of which reached a settlement of more than $1.2 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ausdal Financial Partners, doing business as Armour Capital.
Jim Davis: GWG L Bond Complaints Against IFP/Grow Live Give Advisor
Franklin, Tennessee financial advisor Jim Davis (CRD# 4222532) recently received investor complaints alleging GWG L bond investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with IFP Securities and Independent Financial Partners, respectively, doing business as Grow Live Give.
Saul Rothberger: Avantax Advisor Receives Suitability Complaint
A recent investor complaint against Brooklyn financial advisor Saul Rothberger (CRD# 2914820) alleges that his investment advice resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services, respectively.
Sapphira Chow: Cetera Advisor Denies Structured Product Complaint
Monterey Park financial advisor Sapphira Chow (CRD# 6308704) allegedly recommended unsuitable investments, according to a recent investor complaint against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Cetera Investment Services.
