Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Pedro Escobar: $100K-$500K GIC Complaint Against Ameriprise Advisor
A recent investor complaint against Davie, Florida financial advisor Pedro Escobar (CRD# 2785268) alleges damages of up to half a million dollars. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Wells Fargo Clearing Services and SunTrust Investment Services.
Scott Coonrod: $1.2 Million Complaint Against Ex-FSC Advisor
An investor complaint against former Bend, Oregon financial advisor Scott Coonrod (CRD# 4311374) alleges that his trading activities resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he was previously registered as a broker with FSC Securities Corporation.
David Lau: FINRA Sanctions Gladstone Wealth Partners Advisor
Santa Rosa financial advisor David Lau (CRD# 4567411) was recently sanctioned by securities industry regulators in connection to allegations he engaged in improper trading conduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records indicate that he is not currently registered as a broker, the former Morgan Stanley representative is registered as an… Read More »
Rhett Fordham: $100K Complaint Against LPL, Ex-Raymond James Advisor
Franklin, Tennessee financial advisor Rhett Fordham (CRD# 4592437) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Fordham Investment Management.
Did Paul Ganun, Morgan Stanley Advisor, Misrepresent Investments?
Red Bank, New Jersey financial advisor Paul Ganun (CRD# 2358305) allegedly provided misleading information to his client, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that Mr. Ganun is a broker and an investment advisor with Morgan Stanley.
Osland Financial’s Michael Osland: $150K Mutual Fund Complaint
Scottsdale, Arizona financial advisor Michael Osland (CRD# 1791642) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Geneos Wealth Management, doing business as Osland Financial Group.
Morgan Stanley’s Walter Lim: $673K Options Strategy Complaint
A recent investor complaint against San Francisco financial advisor Walter Lim (CRD# 1747688) alleges six-figure damages relating to an options trading strategy. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, and that he previously received another investor complaint that was denied.
John Wolf: GWG Complaint Against Appleton-Based Cornerstone Advisor
A recent investor complaint against Appleton, Wisconsin financial advisor John Wolf (CRD# 1846080) alleges several forms of misconduct stemming from an investment in GWG L bonds. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is currently an investment advisor with Cornerstone Financial Planning.
Marc Davis: $1.3 Million Complaint Against Davis & Seiley Advisor
La Mesa, California financial advisor Marc Davis (CRD# 2087050) is involved in an investor complaint alleging damages of $1.3 million. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is an investment advisor with Davis & Seiley Wealth Management, having previously been registered with Purshe Kaplan… Read More »
Edward Balmes: Did Moloney Advisor Recommend Unsuitable Bonds?
Recent investor complaints against Chesterfield, Missouri financial advisor Edward Balmes (CRD# 2110152) allege negligence and suitability violations. Financial Industry Regulatory Authority records show that he is a broker with Moloney Securities and an investment advisor with Moloney Securities Asset Management.
