Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Darrick Hutchens: Monon Advisor Landed GWG Complaint
Carmel, Indiana financial advisor Darrick Hutchens (CRD# 4497161) allegedly breached his fiduciary duty in connection with a GWG L Bonds investment, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Purshe Kaplan Sterling broker is currently registered as an investment advisor with Monon… Read More »
Rick Umbarger: Raymond James Advisor Faced $186K Complaint
A recent, denied investor complaint against Newport Beach, California financial advisor Rick Umbarger (CRD# 3132496) alleged that he breached his fiduciary duty. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Ittai Dvir: $120K REIT Complaint Against Sentinel Advisor
North Bethesda, Maryland financial advisor Ittai Dvir (CRD# 5692050) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Sentinel Financial Group.
Hunter Jones: $475K DST Complaint Against Great Point Advisor
A recent investor complaint against Lakewood, Colorado financial advisor Hunter Jones (CRD# 5169688) alleges that he recommended an unsuitable Delaware Statutory Trust investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Great Point Capital.
Brady Lipp: $1mm Fraud Complaint Against NI Advisor
Milpitas, California financial advisor Brady Lipp (CRD# 1359835) recently received an investor complaint alleging that he committed fraud. Financial Industry Regulatory Authority records show that he is registered as a broker with NI Advisors and that he is the Principal Managing Director of One Alpha North Capital.
Dan Becraft: $2mm Options Complaint Against Morgan Stanley Advisor
A recent investor complaint against Seattle, Washington financial advisor Dan Becraft (CRD# 2877734) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Terry Herron: Inspired Healthcare Filing Lists New Frontier Advisor
Englewood, Colorado financial advisor Terry Herron (CRD# 1172497) is listed in a Form D filing for Inspired Healthcare Capital, a senior living development company that recently entered bankruptcy. Securities and Exchange Commission records show that he is currently registered as an investment advisor with New Frontier Wealth Management.
Edward Morrissey: Hornor, Ex-LPL Advisor Faces Complaint
Pittsburgh, Pennsylvania financial advisor Edward Morrissey (CRD# 1873249) recently received an investor complaint alleging that his conduct violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hornor Townsend & Kent, doing business as Morrissey Wealth Management Services.
Robert Sperber: $2.5mm Complaint Against Morgan Stanley Advisor
A recent investor complaint against Coral Gables, Florida financial advisor Robert Sperber (CRD# 2297059) alleges that his conduct resulted in damages of more than $2 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Nini Wu: Morgan Stanley Advisor Faces Investor Complaint
Kirkland, Washington financial advisor Nini Wu (CRD# 6572622) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Cetera.
