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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Alan Appelbaum: SEC Files Charges Against Boca Raton Advisor
Former Aegis Capital financial advisor Alan Appelbaum (CRD# 500336) allegedly recommended unsuitable structured products to his customers, according to Securities and Exchange Commission charges. Financial Industry Regulatory Authority and SEC records show that the former Boca Raton broker has received multiple customer complaints and that the SEC is seeking a jury trial against him.
Paul Gallivan: SEC Fines Boca Raton Advisor Over Structured Products
The Securities and Exchange Commission recently sanctioned former Aegis Capital broker Paul Gallivan (CRD# 5793918). According to Financial Industry Regulatory Authority records, the former Boca Raton financial advisor misrepresented and sold unsuitable investments in “highly complex, variable interest rate structured products.” He has been suspended from associating with any broker, dealer, or investment advisor… Read More »
Brad Hansen: $160K Complaint Against Southern Cross Advisor
Salem, Ohio financial advisor Brad Hansen (CRD# 5872439) has received an investor complaint alleging his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Southern Cross Wealth Management.
John Bussa: Southfield Advisor Has Oil & Gas Complaint
Lincoln Financial Advisors Corporation representative John Bussa (CRD# 4418922) has received multiple investor complaints alleging his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Southfield, Michigan.
Bill LeBeouf: FINRA Suspends Ex-Merrill Lynch Advisor
Former Cetera Advisors broker Bill LeBeouf (CRD# 2464080) was recently sanctioned over allegations he engaged in improper private securities transactions and outside business activities. According to Financial Industry Regulatory Authority and Securities and Exchange Commission records, the former Beavercreek, Ohio representative is currently registered as an investment advisor with Alternativ Wealth in Dayton, Ohio.
Frank Stuart: Oil & Gas Complaint Against Precision Financial Advisor
Frank Stuart (CRD# 4417262), a financial advisor based in Manalapan, New Jersey, has received multiple investor complaints. Financial Industry Regulatory Authority records show that he is a broker with LPL Financial and an investment advisor with Integrated Wealth Concepts, doing business as Precision Financial Services. He was formerly registered with Lincoln Financial Advisors Corporation.
Blake Fellows: Investor Complaint Against Fellows Financial Advisor
Leesburg, Virginia financial advisor Blake Fellows (CRD# 4374810) has received an investor complaint alleging his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker with LPL Financial, doing business as Fellows Financial Group and Fellows Advisory.
Philip Marchese: FINRA Suspends Ex-Spartan Capital Advisor
New York City financial advisor Philip Marchese (CRD# 5905008) excessively traded customer accounts, according to a recent regulatory action suspending him from acting as a broker. Financial Industry Regulatory Authority records show that he was a broker with Spartan Capital Securities until his suspension commenced earlier this year, and that he has previously been… Read More »
Gregory Harrison: Why Did El Dorado Advisor Resign from Ameriprise?
El Dorado, Arkansas financial advisor Gregory Harrison (CRD# 5804566) recently resigned from his former position at Ameriprise Financial Services in relation to allegations he violated company policies. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with International Assets Advisory.
Tony Keena: Oil & Gas Complaint Against Keena Wealth Advisor
Winter Park, Florida financial advisor Tony Keena (CRD# 5416008) has received an investor complaint over an oil and gas investment. Financial Industry Regulatory Authority records show that he is a representative of Keena Wealth, offering securities and advisory services through Lincoln Financial Securities Corporation.
