Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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Michael Christiansen: Suitability Complaint Against LPL Advisor
A recent investor complaint against Coeur d’Alene, Idaho financial advisor Michael Christiansen (CRD# 4071891) alleges that he made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Christiansen Wealth Management.
Ron Holmes: REIT Complaint Against Calton Advisor
Vineland, New Jersey financial advisor Ron Holmes (CRD# 1407315) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Calton & Associates.
Sezgin Unay: Did Merrill Advisor Make Unauthorized Trades?
Melville, New York financial advisor Sezgin Unay (CRD# 4595675) allegedly violated industry rules, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Aaron Clarke: Ex-Strategic Financial Advisor Lands 6-Figure Complaint
A recent investor complaint against Gainesville, Virginia financial advisor Aaron Clarke (CRD# 6358237) alleges that he violated industry rules, resulting in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Heritage Financial advisor was last registered as a broker with The Strategic Financial Alliance.
Cary Urich: SEC Fines Ex-United Planners’ Advisor $100K
Greenville, South Carolina financial advisor Cary Urich (CRD# 2132001) was recently charged by the Securities and Exchange Commission with allegedly breaching his fiduciary duty in connection with the sale of exchange-traded funds. Financial Industry Regulatory Authority records show that he is registered as a broker with Vanderbilt Securities and an investment advisor with Consolidated… Read More »
David Dahill: Realized Financial Advisor Lands Suitability Complaints
Austin, Texas financial advisor David Dahill (CRD# 6581024) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Realized Financial, having previously been registered with WealthForge Securities.
Dorris Jones: Berthel Fisher Advisor Receives $500K Complaint
Nashville, Tennessee financial advisor Dorris Jones (CRD# 735200) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Berthel Fisher & Company Financial Services and an investment advisor with BFC Planning.
Allen Klein: Former Newbridge Advisor Faces $250K Complaint
A recent investor complaint against Boca Raton, Florida financial advisor Allen Klein (CRD# 6953284) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Merit Financial Advisors.
John McKee: $3mm Complaint Against Arkadios Advisor
A recent investor complaint against Redwood City, California financial advisor John McKee (CRD# 1931547) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arkadios Capital and Arkadios Wealth Advisors, respectively.
Matt Brennan: Ex-Strategic Financial Advisor Lands 6-Figure Complaint
Reston, Virginia financial advisor Matt Brennan (CRD# 4658620) allegedly violated industry rules, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Covenant Wealth advisor was last registered as a broker with The Strategic Financial Alliance.
