New York City financial advisor Mack Miller (CRD# 2822317) was recently sanctioned and suspended in connection with alleged excessive and...
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Anthony Gallea: Options Complaints Against Pelican Bay Group Advisor
Hendersonville, North Carolina financial advisor Anthony Gallea (CRD# 713980) has received investor complaints relating to an allegedly unsuitable options trading strategy. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Morgan Stanley, whose website shows that he is a member of Pelican Bay Group Wealth Management.
Clark Harris: REIT Complaint Against Titan Wealth Advisor
Bloomfield Hills financial advisor Clark Harris (CRD# 2730928) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Aurora Securities, doing business as Titan Wealth Management. He was formerly registered with Sigma Financial Corporation.
$500K Investor Complaint Against Clearwater Advisor Roof Douglass
Pending investor complaints against Clearwater, Florida financial advisor Roof Douglass (CRD# 1619835) allege he recommended unsuitable investments. Financial Industry Regulatory Authority records show he is a broker with Securities America and the owner of Douglass Investment Services. He is also known as Alan Douglass and was formerly a broker with Investacorp.
Report: Will JPMorgan Clients Lose Money on PIP 15 Investments?
Hedge fund Tiger Global Management has suffered losses of approximately $17 billion this year, reportedly “one of the biggest dollar declines for a hedge fund in history,” according to a May 2022 report by TechCrunch. Its rapid losses have raised questions about its venture capital fund, PIP 15, with experts pondering what the fate… Read More »
Retirement Income Strategies’ Kristian Finfrock: $100K Complaint
Kristian Finfrock (CRD# 5421676), a financial advisor based in Evansville, Wisconsin, recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Kalos Capita and an investment advisor with Retirement Income Strategies.
Scott Brannan: $100K REIT Complaint Against Berthel Fisher Advisor
Bismarck financial advisor Scott Brannan (CRD# 4553880) allegedly recommended unsuitable non-traded real estate investment trusts, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Berthel Fisher & Company Financial Services.
Spartan’s Nicholas Schiano Has 6-Figure Investor Complaints
New York City financial advisor Nicholas Schiano (CRD# 4429212) has received investor complaints alleging his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Spartan Capital Management, having previously been registered with Worden Capital Management.
Philip Gibson: $135K Complaint Against Fort Lauderdale Advisor
Newbridge Securities Corporation financial advisor Philip Gibson (CRD# 2905474) allegedly committed fraud, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker based in Fort Lauderdale, Florida, also operating as an insurance agent with Philip Gibson Insurance.
William Johnson: $209K REIT Complaint Against Ex-Voya Advisor
Cadaret Grant & Co. financial advisor William Johnson (CRD# 3174473) has received numerous investor complaints alleging he recommended unsuitable investments, resulting in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Greenville, South Carolina, where he was formerly registered with Voya Financial Advisors.
Darrin Cohen: $400K Investor Complaint Against Triad Advisor
Alpharetta, Georgia financial advisor Darrin Cohen (CRD# 2488435) has received an investor complaint alleging his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors and an investment advisor with Wealth Enhancement & Preservation.
