Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Phil Goldstein: GWG Complaints Against Vere, 1st Financial Advisor
Clark’s Summit, Pennsylvania financial advisor Phil Goldstein (CRD# 1031460) is involved in recent investor complaints alleging misconduct relating to sales of GWG L bonds. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former broker is currently an investment advisor with 1st Financial Investment and Vere… Read More »
Cantel Wealth Management’s Brian Cantel Denies Investor Complaint
Flowery Branch, Georgia financial advisor Brian Cantel (CRD# 1743229) allegedly misrepresented and recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Berthel Fisher & Company, as well as a representative of Cantel Wealth Management.
Kimsey Hollifield: Investor Complaint Against Ex-Alphastar Advisor
A recent investor complaint against Summerville, South Carolina financial advisor Kimsey Hollifield (CRD# 5851037) alleges that he recommended an unsuitable structured note. Records maintained by the Securities and Exchange Commission indicate that he is an investment advisor registered with Brookstone Wealth Advisors and the owner of Hollifield Financial Group.
John Moy: $100K-$500K Complaint Against Moy Wealth Management Advisor
Boca Raton financial advisor John Moy (CRD# 848350) allegedly breached his fiduciary duty to place an investor’s interests above his own, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group, doing business as… Read More »
Investment Center of Estes Park’s Jeffrey Morris: $150K Complaint
Recent investor complaints against Estes Park, Colorado financial advisor Jeffrey Morris (CRD# 2478499) allege that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Investment Center of Estes Park.
Michael Keen: Vanguard Closed Complaint Against Charlotte Advisor
Charlotte, North Carolina financial advisor Michael Keen (CRD# 6585665) was recently involved in an investor complaint alleging his conduct resulted in five-figure losses. Records maintained by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Vanguard Advisers broker is currently an investment advisor with Byron Financial.
SouthState Advisor Stacy Cannon: $498K Annuity Complaint
Charleston, South Carolina financial advisor Stacy Cannon (CRD# 2372109) recently received an investor complaint alleging misconduct relating to variable annuity investments. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with LPL Financial, doing business as SouthState Investment Services.
J. Craig McIlroy: Lincoln Financial Advisor Receives $200K Complaint
Denver financial advisor J. Craig McIlroy (CRD# 1422508), also known as Craig McIlroy, recently received an investor complaint alleging six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Lincoln Financial Advisors Corporation.
David Simon: Bond Complaints Against Western International Advisor
Recent investor complaints against Crystal Bay, Nevada financial advisor David Simon (CRD# 1064191) allege that he made unsuitable investment recommendations or provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities.
IFP Advisor Walter Ickert: GWG L Bond Complaint
Ridgeland, South Carolina financial advisor Walter Ickert (CRD# 254588) has received two investor complaints alleging misconduct connected to investments in L bonds issued by GWG Holdings. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with IFP Securities, doing business as Walter Ickert and Associates.
