Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Morgan Stanley’s Michael Schmidt: Complaint Alleges Forgery
Milwaukee financial advisor Michael Schmidt (CRD# 2403903) allegedly misappropriated customer funds and engaged in forgery, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Morgan Stanley.
Chris Schofield: $130K Complaint Against Morgan Stanley Advisor
Colorado Springs financial advisor Chris Schofield (CRD# 2175959) is involved in an investor complaint alleging that his conduct resulted in damages of more than $100,000. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Morgan Stanley.
Anthony Megaro: Why Did Park Avenue Securities Fire Paramus Advisor?
Paramus, New Jersey financial advisor Anthony Megaro (CRD# 1977837) was recently fired from his position at Park Avenue Securities in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the current Nationwide Planning Associates broker, who has been sanctioned by state securities regulators, is also involved in an investor complaint alleging… Read More »
Felipe Arrieta: Ex-SW Financial Advisor Receives $747K Complaint
A recent investor complaint against Manchester, Missouri financial advisor Felipe Arrieta (CRD# 4142123) alleges that he provided misleading information and charged excessive commissions. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Moloney Securities, having previously been registered with SW Financial.
Kevin Duffy: $124K ETF Complaint Against Raymond James Advisor
Multiple investor complaints against Louisville financial advisor Kevin Duffy (CRD# 4481935) allege that he recommended unsuitable investments to his customers. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Raymond James & Associates.
Fermin Mesina: $500K-$1mm Complaint Against First Bank Advisor
Recent investor complaints against Chula Vista, California financial advisor Fermin Mesina (CRD# 4619199) allege that his investment advice resulted in cumulative damages as high as $1.35 million. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Infinex Investments as well as a representative of First Bank.
Wells Fargo Advisor Christopher Hill: Investors File Complaints
Miami financial advisor Christopher Hill (CRD# 4683090) allegedly engaged in conduct that resulted in losses in a customer’s account, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Network 1 Advisor Andrew Grant: FINRA Advises Disciplinary Action
Hauppauge, New York financial advisor Andrew Grant (CRD# 2709882) allegedly exercised unauthorized discretion in customer accounts, according to a recent investigation. Financial Industry Regulatory Authority records show that he is a broker with Network 1 Financial Securities and has previously been sanctioned by FINRA in connection with findings of misconduct.
Stewart Ginn: $300K Complaint Against Crosby Investment Group Advisor
San Diego financial advisor Stewart Ginn (CRD# 4503197) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Navian Capital Securities and Independent Financial Group, doing business as Crosby Investment Group. He is registered with… Read More »
Robbie Msallem: Citigroup Advisor Denies $2 Million Complaint
Glendale, California financial advisor Robbie Msallem (CRD# 3199470) recently received an investor complaint alleging his conduct resulted in damages of $2 million. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Citigroup Global Markets.
