Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Michael Raineri: $135K Complaint Against Raineri Financial Advisor
A recent investor complaint against Seattle financial advisor Michael Raineri (CRD# 4817558) alleges that his conduct resulted in damages of more than $100,000. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Securities America, doing business as Raineri Financial.
Davis Advisory Group’s Pamela Espinosa: $1 Million Complaint
Albuquerque financial advisor Pamela Espinosa (CRD# 5865661) is involved in an investor complaint alleging that her recommendations led to seven-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Kestra Investment Services and Kestra Advisory Services, doing business as Davis Advisory Group.
Kevin & Sean Kane: SEC Charges Ex-Waddell & Reed Advisors
The Securities and Exchange Commission recently filed fraud charges against York, Pennsylvania-based advisors Kevin Kane (CRD# 2269484) and Sean Kane (CRD# 5778281). Financial Industry Regulatory Authority records indicate that the father-and-son advisory team are currently registered with Cambridge Investment Research and were formerly registered with Waddell & Reed. The latter firm terminated their registrations… Read More »
Morgan Stanley’s Frank AuYeung Faces Structured Product Complaint
A recent investor complaint against Cupertino financial advisor Frank AuYeung (CRD# 2256932) alleges excessive trading of structured products. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Morgan Stanley, whose website describes him as a member of the AuYeung Wealth Management Group.
Michelle Perres: $100K-$500K Complaint Against Aegis Advisor
A recent investor complaint against Melville financial advisor Michelle Perres (CRD# 4350152) alleges that her conduct resulted in damages as high as $500,000. Financial Industry Regulatory Authority records indicate that she is a broker and an investment advisor with Aegis Capital Corporation.
Cape Securities Advisor Bruce Phillips Faces $100K Skyloft Complaint
McDonough, Georgia financial advisor Bruce Phillips (CRD# 2239471) is involved in an investor complaint alleging that an NP Skyloft investment resulted in six-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Cape Securities and Cape Investment Advisory, respectively.
Michael Yarus: Why Did Wells Fargo Fire Ex-Paramus Advisor?
Wells Fargo recently fired former Paramus-based financial advisor Michael Yarus (CRD# 1543852) in connection with alleged rule violations. Financial Industry Regulatory Authority records indicate that he is now a broker with Carter, Terry & Company in Atlanta, Georgia.
Stanley Kaplan: $225K Complaint Against SW Financial Advisor
Melville financial advisor Stanley Kaplan (CRD# 865744) allegedly charged excessive commissions and acted negligently, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with SW Financial, having previously been registered with Joseph Gunnar & Company.
Ernest Harris: $300K Complaint Against Union Capital Advisor
Playa Vista financial advisor Ernest Harris (CRD# 714335) allegedly recommended an unsuitable investment that led to six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Union Capital Company.
Craig Friedrichsen: Complaints Against GamePlan Advisor Seek $150K
Recent investor complaints against Topeka financial advisor Craig Friedrichsen (CRD# 2774629) allege that he misrepresented investments and recommended illiquid products, including non-traded real estate investment trusts. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Pruco Securities, as well as a representative of GamePlan… Read More »
