A recent investor complaint against Lenexa, Kansas financial advisor James Blalock (CRD# 7385122) alleges theft from a customer’s account. Financial...
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Rod Thomas: GPB Auto Complaint Against Former SCF Securities Advisor
Boca Raton financial advisory Rod Thomas (CRD# 4010563) recommended an unsuitable investment in GPB Automotive, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Newbridge Securities and Newbridge Financial Services, doing business as Shield Capital Advisory.
Scott Brooks: GPB Capital Complaint Against Gold Coast Advisor
San Clemente, California financial advisor Scott Brooks (CRD# 3235252) recently received an investor complaint alleging he engaged in negligence and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Gold Coast Financial, offering securities and advisory services through Newbridge Securities and Newbridge Financial… Read More »
Jay Ruggiere: NYC Advisor Received REIT Complaint
Alexander Capital financial advisor Jay Ruggiere (CRD# 2548108) has received an investor complaint alleging he committed fraud. Financial Industry Regulatory Authority records show that he is a broker based in New York City.
SEC Charges Against Western International Securities: GWG L Bonds
The US Securities and Exchange Commission has filed charges against Western International Securities and five of the firm’s brokers: Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan. According to a complaint released by the regulator, the firm and these representatives engaged in violations of the SEC’s Regulation Best Interest “when they… Read More »
Kevin McGregor: $5 Million Complaint Against Avantax Advisor
Concord, California financial advisor Kevin McGregor (CRD# 2540872) has received an investor complaint alleging his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a representative of KM Tax & Financial, registered as a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services.
Adam Gurien: Multiple Complaints Against Merrill Lynch Advisor
Palm Beach Gardens financial advisor Adam Gurien (CRD# 2302341) has received several investor complaints alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch.
Michael Whitaker: Newbridge Advisor Has $100K Negligence Complaint
Michael Whitaker (CRD# 6316100), a financial advisor based in The Villages, Florida, allegedly beached his fiduciary duty to a customer, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities Corporation.
Michael Sullum: Oil & Gas Complaint Against Boynton Beach Advisor
Michael Sullum (CRD# 4320124), a registered representative of Lincoln Financial Advisors Corporation, recently received an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boynton Beach, Florida. Mr. Sullum’s BrokerCheck report discloses one investor complaint against him. Filed… Read More »
Brian Horn: Oil & Gas Complaint Against Lincoln Advisor
A recent investor complaint against Hunt Valley, Maryland advisor Brian Horn (CRD# 2823904) details allegations regarding an oil and gas investment. Financial Industry Regulatory Authority records show that he is a representative of Heritage Financial Consultants, registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Derek Ferriera: $150K Oil & Gas Complaint Against Campbell Advisor
Lincoln Financial Services Corporation advisor Derek Ferriera (CRD# 1290274) has received an investor complaint alleging his recommendations resulted in six-figure loses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Campbell, California.
