Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Mariner Wealth’s Cara Miller: Atlas Growth Complaint Settles for $208K
A recent investor complaint against Highlands Ranch, Colorado financial advisor Cara Miller (CRD# 4521819) includes allegations regarding an investment in Atlas Growth Partners. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that she was most recently registered as a broker with ProEquities and that she is currently registered as an investment… Read More »
Michael Coughlin: $500K Complaint Against Ex-Morgan Stanley Advisor
Former Stamford, Connecticut financial advisor Michael Coughlin (CRD# 2055946) recently received an investor complaint alleging damages of half a million dollars. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley.
Thomas Ren: BDC Complaint Against Bull & Bear Financial Advisor
Roaring River, North Carolina financial advisor Thomas Ren (CRD# 2729198) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Crown Capital Securities, doing business as Bull & Bear Financial Outfitters.
Ben Sutak, ThinkEquity Advisor, Receives $296K Complaint
New York City financial advisor Ben Sutak (CRD# 5580389) allegedly engaged in unauthorized trading and other forms of misconduct, according to a recent investor complaint. Financial Industry Regulatory Authority show that he is a broker with ThinkEquity, having previously been registered with WestPark Capital.
Former OneAmerica Advisor Tico Martinez: Oil & Gas Complaint
A recent investor complaint against former Austin, Texas financial advisor Tico Martinez (CRD# 4286086) alleges misconduct relating to an oil and gas limited partnership. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or as an investment advisor, though he was most recently affiliated with OneAmerica Securities.
Nielsen Wealth’s Steven Nielsen Lands Multiple Investor Complaints
Gilbert, Arizona financial advisor Steven Nielsen (CRD# 4184826) is involved in multiple investor complaints alleging he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Nielsen Wealth Management.
Goldman Sachs Advisor Bruce Boyer: $2.3mm Options Complaint
New York City financial advisor Bruce Boyer (CRD# 6202938) allegedly omitted the risk associated with investment strategies he recommended, according to a recent investment complaint. Financial Industry Regulatory Authority records show that he is a broker registered with Goldman Sachs, where he has been employed since 2018.
Dale Timmerman, Moloney Advisor, Receives $100K Investor Complaint
Dale Timmerman (CRD# 2423919), a financial advisor in Vandalia, Illinois, recently received 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 Moloney Securities, having previously been registered with Hancock Securities Group.
Kelly Gillikin: $475K Complaint Against TD Ameritrade Advisor
Chicago financial advisor Kelly Gillikin (CRD# 6847210) is involved in an investor complaint alleging her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor registered with TD Ameritrade.
John Mateyko: IDEX Advisor Has REIT Complaints
Recent investor complaints against Rolling Meadows, Illinois financial advisor John Mateyko (CRD# 3275621) allege misrepresentation, suitability violations, and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with PeachCap Securities and a managing partner at IDEX Financial Group.
