Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Joe Katzaroff: $1 Million Suitability Complaint Against UBS Advisor
Irvine, California financial advisor Joe Katzaroff (CRD# 1811119) recently received an investor complaint alleging his conduct resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website shows that he is a member of the Thompson Katzaroff Kottmeier Group.
John Anderson: Ex-AE Wealth Advisor Faces $600K Complaint
Gainesville, Georgia financial advisor John Anderson (CRD# 5922928) has received multiple investor complaints alleging his conduct resulted in six-figure losses. Securities and Exchange Commission records show that he is an investment advisor with Anderson Advisors, having previously been registered with AE Wealth Management and Global Financial Private Capital.
Chris Moyseos: Morgan Stanley Advisor Receives $585K Complaint
Austin financial advisor Chris Moyseos (CRD# 5584290) recently received an investor complaint alleging more than $500,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Matt Engelau: LPL Financial Advisor Denies ETF Complaint
Hackettstown, New Jersey financial advisor Matt Engelau (CRD# 5233851) recently received an investor complaint alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial.
Adam Jacobs: Did Oppenheimer Advisor Make Unauthorized Trades?
A recent investor complaint against Beachwood, Ohio financial advisor Adam Jacobs (CRD# 4990788) alleges that he breached his fiduciary duty and made unauthorized trades. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Oppenheimer & Company, with which he is also registered in Boca Raton, Florida.
Troy Perkins: $125K Oil & Gas Complaint Against Concourse Advisor
The Woodlands, Texas financial advisor Troy Perkins (CRD# 4337530) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Concourse Financial Group Securities, doing business as Perkins Financial.
Dan Wagner: Former Triad Advisor Faces $100K Complaint
Greenville, South Carolina financial advisor Dan Wagner (CRD# 2867278) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Arkadios Capital and an investment advisor with Wealth Management Advisors, as well as the president of Wagner Wealth Management.
Jeffrey Higgins: Did WIS Advisor Misrepresent Bond Investment?
Former Baker City, Oregon financial advisor Jeffrey Higgins (CRD# 2871443) received an investor complaint alleging six-figure damages in connection with a corporate bond investment. Carlson Law represents multiple former clients of Mr. Higgins and intends to file at least three claims regarding his conduct. Financial Industry Regulatory Authority records show that he is a… Read More »
Vik Goel: WestPark Advisor Lands GWG L Bond Complaint
Irvine, California financial advisor Vik Goel (CRD# 3165104) recently received an investor complaint in connection with a GWG L bond investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with WestPark Capital, having previously been registered with Newport Coast Securities.
Ross Hoffman: $637K Complaint Against Fortune Financial Advisor
A recent investor complaint against Ventura, California financial advisor Ross Hoffman (CRD# 803445) alleges that his advice resulted in damages exceeding $600,000. Financial Industry Regulatory Authority records show that he is a broker with Fortune Financial Services and an investment advisor with Hoffman & Associates Financial & Estate Advisors.
