Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
Read MoreCategory Archives: Uncategorized
Investor Complaint Against Tom Prichard, Edward Jones Advisor
Liberty, Missouri financial advisor Tom Prichard (CRD# 6488840) allegedly failed to follow instructions, according to an investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Edward Jones.
The Hale Group’s Todd Nuss: Suitability Complaint
A new investor complaint involving Beavercreek, Ohio financial advisor Todd Nuss (CRD# 5288692) alleges eight-figure damages. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Morgan Stanley, where, the firm’s website notes, he is part of The Hale Group.
Elder Exploitation Claim Against Retirement Designers’ Dale McCarty
Plano, Texas financial advisor Dale McCarty (CRD# 5676607) allegedly engaged in financial elder exploitation, according to a denied investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Brokers International Financial Services and an investment advisor with Brokers Financial, doing business as Retirement Designers Financial Group.
Becky Henson, Ex-Intervest Advisor, Receives GWG L Bond Complaint
Bradenton, Florida financial advisor Becky Henson (CRD# 4383083) recently received an investor complaint alleging misrepresentation and other forms of misconduct. Financial Industry Regulatory Authority records show that she is a broker registered with Cetera Investment Services. She is also known as Becky Urquhart.
Mitchell Riesenberger: Options Overlay Complaint Against UBS Advisor
An options overlay complaint is the subject of a recent investor complaint against Mitchell Riesenberger (CRD# 2990475), an advisor at UBS Financial Services. Records show that he is a broker and an investment advisor based in Boston and Wellesley, Massachusetts, and a former representative of Credit Suisse Securities.
Mark Elias: Houston Advisor Lands Option Overlay Complaints
Several recent investor complaints allege that UBS Financial Services advisor Mark Elias (CRD# 2938707) misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Houston, Texas.
Don Harrell: Suitability Complaint Against Morgan Stanley Advisor
Laguna Niguel financial advisor Don Harrell (CRD# 2222409) allegedly made unsuitable recommendations, according to a recent investor complaint against him. Records maintained by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with Morgan Stanley. His past registrations include Merrill Lynch and Banc of America Investment Services.
Stephen Bush, Weddington Advisor, Has Northstar Healthcare Complaint
A new investor complaint against Capital Investment Group advisor Stephen Bush (CRD# 1898917) alleges his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the broker and investment advisor is currently registered with Capital Investment Group and Capital Investment Advisory Services, respectively.
Mappa Wealth Advisor Mark Mappa: Oil & Gas Complaints
Two recent investor complaints detail allegedly unsuitable investment recommendations involving Mark Mappa (CRD# 1874503), a broker and an investment advisor based in Northbrook, Illinois. Financial Industry Regulatory Authority records show that he is a representative of Woodbury Financial Services, having formerly been registered with Kestra. He is the president of Mappa Wealth Management.
Donavan Hilsabeck: CD Complaint Against Las Vegas Advisor
The performance of a structured certificate of deposit is at issue in a recent complaint against Las Vegas broker Donavan Hilsabeck (CRD# 1503039). Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Wells Fargo Clearing Services.
