Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Aviva Miller: Vanguard Advisor Received $140K Complaint
Malvern, Pennsylvania financial advisor Aviva Miller (CRD# 7075785) was recently involved in an investor complaint alleging that her failure to follow instructions resulted in six-figure losses. Records provided by the Financial Industry Regulatory Authority indicate that she is a broker with Vanguard Marketing Corporation, an employee of The Vanguard Group, and an investment advisor… Read More »
Kevin Wesner: $1 Million Complaint Against UBS, Ex-Citi Advisor
A new investor complaint against Baltimore financial advisor Kevin Wesner (CRD# 2827165) alleges that his conduct resulted in damages of $1 million. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with UBS Financial Services, having previously been registered with Citigroup Global Markets.
Jay Craddock: Edward Jones Denies $220K Investor Complaint
Bridgeport, Texas financial advisor Jay Craddock (CRD# 3176206) recently received an investor complaint alleging his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Edward Jones.
Xenith Financial’s Randall Hall: $75K Suitability Complaint
A recent investor complaint alleges that Fort Worth financial advisor Randall Hall (CRD# 7067453) provided an unsuitable investment recommendation that resulted in 5-figure damages. Records provided by the Securities and Exchange Commission indicate that he is an investment advisor affiliated with Xenith Financial Advisory Services.
Ameriprise’s Brandon Harrington: FS Energy & Power Complaint
Williamsville financial advisor Brandon Harrington (CRD# 2842967) allegedly recommended unsuitable alternative investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Michael Risko: REIT Allegations Against Infinex Advisor
Hyde Park, New York financial advisor Michael Risko (CRD# 1975573) is involved in an investor dispute alleging his conduct resulted in damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Infinex Investments, where he is also registered with the firm’s offices in Kingston… Read More »
Jason Pintus: $105K Complaint Against Monmouth Capital Advisor
A pending investor complaint against Point Pleasant Beach, New Jersey financial advisor Jason Pintus (CRD# 5239408) alleges that he breached his fiduciary duty and churned investments in a customer’s account. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Monmouth Capital Management.
Sequoia Wealth’s Andrea Steiner: $50K Bond Complaint
Incline Village, Nevada financial advisor Andrea Steiner (CRD# 5620516) allegedly recommended unsuitable investments, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker with Vanderbilt Securities, doing business as Sequoia Wealth and Risk Management, and an investment advisor with Consolidated Portfolio Review Corporation.
Phillip Cartwright: $75K Complaint Against Legacy Investments Broker
Multiple investor complaints against Appleton, Wisconsin financial advisor Phillip Cartwright (CRD# 4287303) detail allegations that he recommended unsuitable products. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Woodbury Financial Services, acting as a representative of Legacy Investments and Services.
Greg Ramirez: $150K Complaint Against Ex-Cabin Securities Broker
Laguna Hills, California financial advisor Greg Ramirez (CRD# 2883461) is involved in an investor complaint alleging that his handling of a customer’s account resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Cabin Securities broker is currently an investment advisor with… Read More »
