Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreCategory Archives: Uncategorized
Chapel Wealth Advisor Francis Carson: 7-Figure Investor Complaint
A recent investor complaint against Stratford, Connecticut advisor Francis Carson (CRD# 1494735) alleges that his investment advice resulted in damages of more than $1.4 million. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with Money Concepts Capital and an investment advisor with Money Concepts Advisory Service, doing business… Read More »
Calton Advisor Shawn Spellacy Receives $719K Complaint
Fair Oaks, California financial advisor Shawn Spellacy (CRD# 2275119) allegedly recommended investments that resulted in losses exceeding $700,000, according to a recent investor complaint against him. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Calton & Associates.
Derek Malone: $250K Complaint Against Infinex Advisor
New York City financial advisor Derek Malone (CRD# 5495233) has received multiple investor complaints alleging that he misrepresented investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Infinex Investments, having previously been registered with Essex National Securities.
Trey Garraway: Why Did FINRA Suspend Ex-Thrivent Advisor?
Hattiesburg, Mississippi financial advisor Trey Garraway (CRD# 7132872) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the ex-Thrivent Investment Management broker is currently an investment advisor with Simplified Wealth Management.
Andrew Kubicsko: Raymond James Advisor Faces $400K Complaint
A recent investor complaint against Chicago financial advisor Andrew Kubicsko (CRD# 861670) alleges that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates, and that he is also registered with the firm’s office in Lake Geneva,… Read More »
WPG Advisor Steve Gessner Receives Oil & Gas Complaint
Baltimore financial advisor Steve Gessner (CRD# 2650114) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Cambridge Investment Research broker is currently registered as an investment advisor with WPG Financial Group.
Luke Johnson: Ex-Coastal Advisor Named in FINRA Complaint
Former Scottsdale financial advisor Luke Johnson (CRD# 3257008) allegedly recommended unsuitable investments in GPB Capital and other products while falsifying his customers’ account information, according to an enforcement action filed this month by the Financial Industry Regulatory Authority. FINRA records show that the former Coastal Equities representative is not currently registered with any broker-dealer… Read More »
Barry Hesse: Did Thrivent Advisor Fail to Execute Sales?
A recent investor complaint against Jonesboro, Arkansas financial advisor Barry Hesse (CRD# 2652246) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Thrivent Investment Management.
Taylor Thompson: UBS Advisor Lands $1mm Investor Complaint
Irvine financial advisor Taylor Thompson (CRD# 5951104) allegedly failed to execute an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website describes him as a Senior Vice President of the Thompson Katzaroff Kottmeier… Read More »
USCA Advisor Derek Su Faces $2 Million Investor Complaint
A recent investor complaint against Austin financial advisor Derek Su (CRD# 4121574) alleges that his conduct resulted in damages of more than $2 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with USCA Securities and US Capital Wealth Advisors, respectively.
