Lexington, South Carolina financial advisor Jason Jeanquart (CRD# 6593478) recently received an investor complaint alleging that he misrepresented risky investments....
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FS KKR Capital: Was BDC Investment Too Risky For Some Investors?
FS KKR Capital Corp. (NYSE: FSK) may be the second largest business development company, but that doesn’t necessarily make it a safe proposition for everyday investors—especially given the risks investors already face when they invest in BDCs generally. In fact, FS KKR has suffered hundreds of millions of dollars in losses since it was… Read More »
Tarrytown Advisor Brian Jackson: Complaint Alleged Risky Investments
Wells Fargo Clearing Services financial advisor Brian Jackson (CRD# 4733834) recently received an investor complaint alleging he recommended unsuitably risky investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Tarrytown, New York.
Mary Wilcox: Oil & Gas Complaint Against Phoenix JW Cole Advisor
An investor complaint against JW Cole Financial advisor Mary Wilcox (CRD# 2589120) details allegations concerning an oil and gas investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Phoenix, Arizona.
FINRA Sanctions Ex-White Plains Advisor Russ Kory: Oil & Gas LPs
The Financial Industry Regulatory Authority has sanctioned former White Plains advisor Russ Kory (CRD# 5901185) over allegations he recommended unsuitable oil and gas investments. Financial Industry Regulatory Authority records show that he is not currently a broker or an investment advisor, though he was last registered with David Lerner Associates.
Bill Godfrey: Why Did Thrivent Fire Tampa Advisor?
OneAmerica Securities financial advisor Bill Godfrey (CRD# 2447660) recently received an investor complaint alleging he engaged in misconduct. Financial Industry Regulatory Authority records show that the Tampa-based broker and investment advisor was also fired by one of his former employers, Thrivent Investment Management.
Jeremy Bouwman: New Investor Complaint Against Austin Advisor
Edward Jones financial advisor Jeremy Bouwman (CRD# 5530522) recently received an investor complaint alleging he provided unsuitable advice. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Austin, Texas.
Grace Chen: REIT Complaint Against Ex-Cetera, Citigroup Advisor
Former Cetera Financial Services financial advisor Yu-Chin Chen (CRD# 3041928), also known as Grace Chen, has received several investor complaints alleging her investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that she is not currently registered as a broker or an investment adviser, though she was most recently based in Arcadia,… Read More »
Emilio Vasquez: $100K Complaint Against Coconut Grove Advisor
Infinex Investments financial advisor Emilio Vasquez (CRD# 3222414) has received multiple investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Coconut Grove, Florida.
Aaron Rice: UIT Complaint Against Roseville Ex-BBVA Advisor
PNC Investments financial advisor Aaron Rice (CRD# 5416008) has received multiple investor complaints alleging he misrepresented investments he recommended. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Roseville, California. He is also registered with his firm’s offices in Lincoln, Elk Grove, Lodi, and Jackson, California.
Nick Giallourakis: New Fraud Complaint Against Boca Raton Advisor
Newbridge Financial Services advisor Nick Giallourakis (CRD# 4496285) recently received an investor complaint alleging he committed fraud and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boca Raton, Florida.
