Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Stephen Scott: Options Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Antonio, Texas financial advisor Stephen Scott (CRD# 5553385) concerns an investment in an options strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Ken Vercellino: $10mm Complaint Against Raymond James Advisor
San Francisco financial advisor Ken Vercellino (CRD# 2583864) recently received an investor complaint alleging that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Rick Brown: $1.5mm Complaint Against Arete Advisor
A recent investor complaint against Nashville, Tennessee financial advisor Rick Brown (CRD# 2541545) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arete Wealth Management.
Robert Wilson: Why Was Principal Advisor Fired by Wells Fargo?
Eagle, Idaho financial advisor Robert Wilson (CRD# 6394736) was recently fired by his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Wells Fargo representative is currently registered as a broker with Principal Securities.
Norma Sepulveda: Morgan Stanley Advisor Faces Suitability Complaint
A recent investor complaint against Winter Park, Florida financial advisor Norma Sepulveda (CRD# 1247666) alleges that she recommended an unsuitable strategy. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Don Pittman: Advisor Fired by Edward Jones
Former Lubbock, Texas financial advisor Don Pittman (CRD# 7119777) was recently fired from his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Edward Jones representative is not currently registered as a broker or an investment advisor.
Steve Story: United Planners Advisor Received Complaint
A recent, withdrawn investor complaint against Ogden, Utah financial advisor Steve Story (CRD# 2574091) alleges that he forged a customer’s signature. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with United Planners’ Financial Services of America, doing business as Steve Story and Associates.
Craig Roy: Why Was LPL Advisor Fired by Edward Jones?
Baton Rouge, Louisiana financial advisor Craig Roy (CRD# 6834029) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Edward Jones representative is currently registered as a broker and an investment advisor with LPL Enterprise.
Charles Chan: $108K Complaint Against Cetera Advisor
Lexington, Kentucky financial advisor Charles Chan (CRD# 2894827) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Wealth Services and Cetera Investment Advisers, respectively.
Christopher Labadie: $55K ETF Complaint Against Livingston Advisor
A recent investor complaint against Clearwater, Florida financial advisor Christopher Labadie (CRD# 4696143) alleges that he recommended an unsuitable investment strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Livingston Financial Group.
