Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Morgan Stanley Advisor Lawrence Catena: Mutual Fund Complaint
Naples, Florida financial advisor Lawrence Catena (CRD# 2037155) allegedly provided investment advice that resulted in losses, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Denver Advisor Scot Barringer: GWG Holdings Complaints
Investor complaints against American Trust Financial Services financial advisor Scot Barringer (CRD# 1385168) allege that he sold unsuitable GWG L bond investments. Financial Industry Regulatory Authority records show that the Lisle, Illinois broker is also registered as an investment advisor with Chicago Capital Management Advisors in Denver, Colorado.
Southfield Advisor Loren Morrison: Negligence Complaint
Stifel Nicolaus & Company financial advisor Loren Morrison (CRD# 4578161) recently recently received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Southfield, Michigan, and that he was previously registered with LPL Financial.
Arlington Financial Denies Complaint Against Cary Jacobs
Glenview, Illinois financial advisor Cary Jacobs (CRD# 5029640) recently received an investor complaint alleging her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Arlington Financial Services.
Boca Raton Advisor Michael Greenfield: Oil & Gas Complaints
Recent investor complaints against Newbridge Securities financial advisor Michael Greenfield (CRD# 5406611) allege negligence, breach of fiduciary duty, and other forms of misconduct. Financial Industry Regulatory Authority records show that he is currently a broker based in Boca Raton, Florida.
Investor Files Complaint Against Jeffrey Towles, Columbus Advisor
A recent investor complaint against Fidelity Brokerage Services financial advisor Jeffrey Towles (CRD# 3093428) alleges six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered in Columbus, Ohio and Boston, Massachusetts.
Justin Singletary: GWG L Bond Complaint Against Ex-Westpark Advisor
A recent investor complaint against former Westpark Capital broker Justin Singletary (CRD# 6325695) recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that Mr. Singletary is no longer registered as a broker. Securities and Exchange Commission records show that he is registered as an investment advisor with Quiver Financial… Read More »
Port Huron Advisor Jeff Poosch Receives Walton Land Complaint
A recent investor complaint against Port Huron, Michigan financial advisor Jeff Poosch (CRD# 2490703) details allegation regarding an investment in Walton Land Fund 3. Financial Industry Regulatory Authority records show that he is a broker with Prospera Financial Services, doing business as Jeff Poosch Financial Services.
Richard Crabtree: SEC Sanctions Merrill Advisor over Alleged Fraud
The Securities and Exchange Commission recently barred Annapolis financial advisor Richard Crabtree (CRD# 1855649) in connection with allegations he defrauded a client. Financial Industry Regulatory Authority records show that he was most recently registered with Merrill Lynch, though he has been barred from acting as a broker or investment adviser or otherwise associating with… Read More »
San Francisco Advisor Bill Conn Has Mismanagement Complaint
International Assets Advisory financial advisor Bill Conn (CRD# 1477107) has received an investor complaint that settled for more than $500,000 and was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor in San Francisco,… Read More »
