Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
Read MoreCategory Archives: Uncategorized
David Reo: $350K Complaint Against Reo Financial Advisor
Rensselaer financial advisor David Reo (CRD# 2113425) is involved in an investor complaint alleging damages of more than $300,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with Innovation Partners and an investment advisor with IP Financial Advisory Services, doing business as Reo Financial Services.
Emma Hahn: Ameriprise Denies $95K Complaint Against Wichita Advisor
Wichita financial advisor Emma Hahn (CRD# 7241667) recently received an investor complaint alleging misconduct stemming from a variable annuity investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Ameriprise Financial Services.
Mark Nelson: Investor Complaint Against Chrysalis Wealth Advisor
Colorado Springs financial advisor Mark Nelson (CRD# 5074803) is involved in an investor complaint alleging his conduct resulted in damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Ameriprise Financial Services, and that he is also registered with the firm’s office in Albuquerque,… Read More »
CDP Financial’s Brian Perkins: $120K Investor Complaint
Brian Perkins (CRD# 5630932), a financial advisor based in Littleton, Colorado, recently received an investor complaint alleging multiple forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity and an investment advisor with CDP Financial Group.
David Wood: Moloney Securities Denies $600K Complaint
Manchester, Missouri financial advisor David Wood (CRD# 2306563) is involved in multiple investor complaints alleging cumulative damages of more than $800,000. Financial Industry Regulatory Authority records show that he is a broker with Moloney Securities, having previously been registered with Hancock Securities.
Thrivent Advisor Mike Shackel Received $185K Complaint
Woodridge, Illinois financial advisor Mike Shackel (CRD# 4157324) recently received an investor complaint alleging six-figure damages stemming from a variable annuity investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Thrivent Investment Management.
Eric Zwilling: Did Merrill Lynch Advisor Misrepresent Investment?
A recent investor complaint against Dublin, Ohio financial advisor Eric Zwilling (CRD# 4208417) alleges he provided misleading information regarding an investment. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Cabin Securities’ Sam Bhushan Receives $150K Reg D Complaint
Sam Bhushan (CRD# 4884717), a financial advisor based in Laguna Niguel, California, recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Cabin Securities, having previously been registered with Arete Wealth Management.
Walter León: Citi Denies Complaint Against Miami Advisor
Miami financial advisor Walter León (CRD# 5872460) allegedly over-concentrated investments in a client’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, having been a representative of Citigroup Global Markets until July 2022.
Ex-Intervest Advisor John Schlagheck: GWG L Bond Complaints
Recent investor complaints against McDonough, Georgia financial advisor John Schlagheck (CRD# 1040673) allege that investments in GWG L bonds resulted in damages exceeding half a million dollars. Financial Industry Regulatory Authority records show that he is a broker with Cape Securities, having previously been registered with Intervest International Equities Corporation.
