Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Gabriel Edelman: Ex-Spartan Advisor Named in SEC Crypto Charges
Pending charges against former New York City advisor Gabriel Edelman (CRD# 5778763) allege that he engaged in a fraudulent scheme involving the sale of digital assets. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities, though he is not currently affiliated with any FINRA… Read More »
Richard Stevens: $4.3 Million Complaint Against IBN Financial Advisor
Valley Cottage, New York financial advisor Richard Stevens (CRD# 852090) recently received an investor complaint alleging that his conduct resulted in more than $4 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with IBN Financial Services, and that he is also based out of… Read More »
Scott Brander: Ex-Buckman Advisor Settles SEC Charges
The Securities and Exchange Commission recently sanctioned former Buckman Advisory Group representative Scott Brander (CRD# 2300933) in connection with an allegedly fraudulent scheme. Financial Industry Regulatory Authority records show that Mr. Brander was most recently registered in Little Silver, New Jersey.
Suitability Complaints Against Avi Bialo, Arete Wealth Advisor
Los Angeles financial advisor Avi Bialo (CRD# 6165479) has received two recent investor complaints alleging as much as $450,000 in total damages. Financial Industry Regulatory Authority records show that the broker and investment advisor registered with Arete Wealth Management has denied one of the claims against him.
Mutual Fund Complaints Against Ted Boutis, Ameriprise Advisor
Mineola, New York financial advisor Ted Boutis (CRD# 2951760) is involved in investor complaints alleging misconduct in connection with investments in C-share mutual funds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Ex-Merrill Lynch Advisor Jacquin Fink: 12 Investor Complaints
Investor complaints against former New York City financial advisor Jacquin Fink (CRD# 207807) have settled for a cumulative sum of more than $3 million. Financial Industry Regulatory Authority records show that he was most recently a representative of Merrill Lynch, though he is not currently registered as a broker or as an investment advisor.
Simon Clarke: Options Overlay Complaint Against UBS Advisor
Recent investor complaints against Boston financial advisor Simon Clarke (CRD# 4232824) allege more than $1 million in cumulative damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, where he is also based out of the firm’s office in Wellesley, Massachusetts.
Ex-Cetera Advisor Brock Brady Lands $270K REIT Complaint
Former Bellevue, Washington financial advisor Brock Brady (CRD# 4638576) recently received an investor complaint alleging six-figure damages. 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 registered with Cetera Advisor Networks.
Ridgefield Advisor Shannon Powers Receives Investor Complaint
A recently filed investor complaint alleges that Ridgefield, Washington financial advisor Shannon Powers (CRD# 2367198) made unsuitable investment recommendations. Records provided by the Financial Industry Regulatory Authority show that Ms. Powers is a broker and investment advisor with Western International Securities, doing business as Powers Financial & Insurance Group.
Larry Stringer, Hendersonville Advisor, Lands Suitability Complaint
Multiple investor complaints against Capital Investment Group’s Larry Stringer (CRD# 1996822) allege misconduct relating to real estate investments. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor based in Hendersonville, North Carolina.
