Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
Read MoreCategory Archives: Uncategorized
GWG Investor Files Complaint Against Former NPB Advisor Fred Easter
Sandy, Utah financial advisor Fred Easter (CRD# 74758) recently received an investor complaint alleging his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Independent Financial Group, having formerly been registered with NPB Financial Group.
Complaint: Baltimore Advisor Jeremy Reed Failed to Follow Instructions
UBS Financial Services advisor Jeremy Reed (CRD# 5929998) allegedly failed to follow a customer’s instructions, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Baltimore, Maryland.
New Investor Complaint Against Sun City Advisor Jeffrey McKee
A recent investor complaint against Wells Fargo Clearing Services financial advisor Jeffrey McKee (CRD# 5721657) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Sun City, Brook, Winslow, and Surprise, Arizona.
Cathay Bank Advisor Grace Guo Receives Investor Complaint
Monterey Park, California financial advisor Grace Guo (CRD# 4201624) has received multiple investor complaints, including one that alleges half a million dollars in damages. Financial Industry Regulatory Authority records show that she is a representative of Cathay Bank Wealth Management, which offers securities and advisory services through Cetera Investment Services and Cetera Investment Advisors.
SEC Investigates Cola Wealth’s Atul Makharia
Lexington, South Carolina financial advisor Atul Makharia (CRD# 5070762) is the recipient of multiple investor complaints alleging he recommended unsuitable, high-risk investments. Financial Industry Regulatory Authority records show that the Centaurus Financial broker, doing business as Cola Wealth Advisors, is also under investigation by the Securities and Exchange Commission.
Leucadia Advisor Renato Estefano: Investor Complaint
Stamford, Connecticut financial advisor Renato Estefano (CRD# 5252944) recently received an investor complaint alleging damages of more than $1 million. Financial Industry Regulatory Authority records show that Mr. Estefano is a broker with Jefferies and an investment advisor with Leucadia Asset Management.
Dominion Advisor Lance Walston: Investor Complaints
San Antonio financial advisor Lance Walston (CRD# 4440958) has received multiple investor complaints that reached six-figure settlements. Financial Industry Regulatory Authority records show that he is a broker with Dominion Investor Services, doing business as Walston Investment Management.
Call Options Complaint Against Q Capital Solutions Advisor Bob Quinlan
Manasquan, New Jersey financial advisor Bob Quinlan (CRD# 4182804) recently received an investor complaint alleging he recommended a high-risk investment strategy that resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently an investment advisor with Q Capital Solutions.
Merrill Lynch Advisor Maria Johnson: Chevron complaint
A recent investor complaint against New Orleans financial advisor Maria Johnson (CRD# 2495165) alleges that she provided unsuitable investment advice involving Chevron stock. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Merrill Lynch.
Anthony Harrigon: Former Lion Street, Triad Advisor Faced Complaints
Boulder, Colorado financial advisor Anthony Harrigan (CRD# 1817525) has received multiple investor complaints alleging his advice resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor with Csenge Advisory Group, having previously been registered with Lion Street Financial and Triad Advisors.
