Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Dean Paugh: $109K Complaint Against Raymond James Advisor
Birmingham, Alabama financial advisor Dean Paugh (CRD# 1068991) is involved in an investor complaint alleging that his conduct resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Raymond James & Associates.
American Trust’s Noel Bragg Receives $50K GWG L Bond Complaint
San Clemente financial advisor Noel Bragg (CRD# 1175231) allegedly breached his fiduciary duty and engaged in other forms of misconduct, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services.
Patrick Tantoco: REIT Complaint Against Tantoco Financial Advisor
Honolulu financial advisor Patrick Tantoco (CRD# 5249850) is involved in an investor complaint alleging his conduct resulted in damages. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Royal Alliance Associates. He is also the president of Tantoco Financial.
David Wampler: $100K Bond Complaint Against Moloney Advisor
Kerrville, Texas financial advisor David Wampler (CRD# 2906256) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Moloney Securities.
Mark Zorn: Suitability Complaint Against FFEC Wealth Advisor
Addison, Texas financial advisor Mark Zorn (CRD# 2056837) allegedly made unsuitable recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Kestra representative is currently registered as a broker and an investment advisor with Cetera Advisor Networks, doing business as FFEC Wealth Partners.
Ray Reese: $450K Complaint Against Reese Financial Advisor
Recent investor complaints against Farmington, Missouri financial advisor Ray Reese (CRD# 1694620) allege that he made unsuitable investment recommendations. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with Money Concepts Capital Corporation and an investment advisor with Money Concepts Advisory Service, doing business as Reese… Read More »
Jim Kekeris: $750K Complaint Against Kekeris Financial Advisor
Manchester, Missouri financial advisor Jim Kekeris (CRD# 1453262) recently received an investor complaint alleging damages of more than $700,000. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Moloney Securities, doing business as Kekeris Financial Group.
Rocco Guidicipietro: Alexander Capital Advisor Denies $2.6mm Complaint
Recent investor complaints against Red Bank financial advisor Rocco Guidicipietro (CRD# 2489732) allege that he engaged in fraud and other forms of misconduct. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker with Alexander Capital.
Brian Hamm: $150K Complaint Against Luebeck Geisler Hamm Advisor
Slinger, Wisconsin financial advisor Brian Hamm (CRD# 5801533) allegedly engaged in misconduct that resulted in six-figure damages, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with JW Cole Financial and an investment advisor with JW Cole Advisors, doing business… Read More »
George Cairnes: Wells Fargo Advisor Faces Investor Complaint
A recent investor complaint against Houston, Texas financial advisor George Cairnes (CRD# 4068906) alleges the partial failure to repay a loan from a customer. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services.
