Columbus, Indiana financial advisor Joe Doggett (CRD# 1033987) has received multiple investor complaints alleging that his conduct resulted in losses....
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SEC Investigates Cola Wealth’s Atul Makharia
Lexington, South Carolina financial advisor Atul Makharia (CRD# 5070762) is the recipient of multiple investor complaints alleging he recommended unsuitable, high-risk investments. Financial Industry Regulatory Authority records show that the Centaurus Financial broker, doing business as Cola Wealth Advisors, is also under investigation by the Securities and Exchange Commission.
Leucadia Advisor Renato Estefano: Investor Complaint
Stamford, Connecticut financial advisor Renato Estefano (CRD# 5252944) recently received an investor complaint alleging damages of more than $1 million. Financial Industry Regulatory Authority records show that Mr. Estefano is a broker with Jefferies and an investment advisor with Leucadia Asset Management.
Dominion Advisor Lance Walston: Investor Complaints
San Antonio financial advisor Lance Walston (CRD# 4440958) has received multiple investor complaints that reached six-figure settlements. Financial Industry Regulatory Authority records show that he is a broker with Dominion Investor Services, doing business as Walston Investment Management.
Call Options Complaint Against Q Capital Solutions Advisor Bob Quinlan
Manasquan, New Jersey financial advisor Bob Quinlan (CRD# 4182804) recently received an investor complaint alleging he recommended a high-risk investment strategy that resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently an investment advisor with Q Capital Solutions.
Merrill Lynch Advisor Maria Johnson: Chevron complaint
A recent investor complaint against New Orleans financial advisor Maria Johnson (CRD# 2495165) alleges that she provided unsuitable investment advice involving Chevron stock. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Merrill Lynch.
Anthony Harrigon: Former Lion Street, Triad Advisor Faced Complaints
Boulder, Colorado financial advisor Anthony Harrigan (CRD# 1817525) has received multiple investor complaints alleging his advice resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor with Csenge Advisory Group, having previously been registered with Lion Street Financial and Triad Advisors.
Merrill Lynch Advisor John O’Shaughnessey Receives Investor Complaint
Macon, Georgia financial advisor John O’Shaughnessey (CRD# 1739562) recently received an investor complaint alleging that his conduct resulted in losses exceeding $300,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, and that he is also known as William O’Shaughnessey III.
Atlas Oil & Gas Complaint Against JP Morand’s Jeff Morand
Englewood, Colorado financial advisor Jeff Morand (CRD# 728191) recently received an investor complaint alleging fraud connected to an investment in Atlas Oil and Gas Growth Partners. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Independent Financial Group, doing business as JP Morand & Company.
Pruco Denies Complaint Against Lancaster Advisor Evan Perets
A recent investor complaint against Pruco Securities financial advisor Evan Perets (CRD# 5778033) alleged his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Lancaster, Pennsylvania.
Eric Marvin: $100K Complaint Against M&M Wealth Advisor
A recent investor complaint against Fort Meyers financial advisor Eric Marvin (CRD# 4856310) alleges that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the M&M Wealth Management Advisor is not currently registered as a broker.
