Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
Read MoreCategory Archives: Uncategorized
Richard Jackman: $400K Complaint Against Orange, CA Advisor
Crown Capital Securities financial advisor Richard Jackman (CRD# 2501641) has received multiple investor complaints, including one that recently reached a six-figure settlement. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Orange, California.
Vincent Grucci: FINRA Investigates Ocean Ridge Advisor
Fortune Financial Services advisor Vincent Grucci (CRD# 1602600) allegedly made misrepresentations and unsuitable recommendations, according to a recent Financial Industry Regulatory Authority investigation. FINRA records show that he is a broker based in Ocean Ridge, Florida.
Anne Debowes: $431K Complaint Against Wells Fargo Advisor
A pending investor complaint against New Haven financial advisor Anne Debowes (CRD# 2157405) alleges more than $400,000 in damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Wells Fargo Clearing Services.
Philip van Staden: 700K Complaint Against Green Vista Advisor
Winter Park, Florida financial advisor Philip van Staden (CRD# 4489166) has received multiple investor complaints in recent years, including one that reached a six-figure settlement. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Green Vista Capital.
Allen Wilson: $545K Complaint Against Wells Fargo Advisor
Florham Park, New Jersey financial advisor Allen Wilson (CRD# 2420229) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Philip Watson: Ameriprise Advisor Has REIT Complaint
A recent investor complaint against Downers Grove, Illinois financial advisor Philip Watson (CRD# 2400788) alleged that he provided misleading advice regarding an REIT investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Robert D’Agosta: Suitability Allegations Against Center Valley Advisor
Liverpool, New York financial advisor Robert D’Agosta (CRD# 1903105) has received multiple investor complaints, including one that reached a settlement of $500,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with IBN Financial Services, where he is also registered with the firm’s office in Center Valley, Pennsylvania.
Steven Baumrucker: Complaints Against Adams Brown Advisor
Hays, Kansas financial advisor Hays Baumrucker (CRD# 4055316) allegedly recommended unsuitable investments, according to investor complaints against him. Financial Industry Regulatory Authority records show that he is a broker with Private Client Services in Hays and an investment advisor with Adams Brown Wealth Consultants in Great Bend, Kansas.
Rob Urban: Why Did Ex-Morgan Stanley Advisor Resign?
Westhampton Beach, New York financial advisor Rob Urban (CRD# 2561504) recently resigned from Ameriprise Financial Services following allegations of misconduct. Financial Industry Regulatory Authority records show that the Cetera Advisor Networks representative previously resigned from a former member firm over alleged misconduct as well.
Hilltop’s Brad Winges & Steve Coma: $13 Million Complaint
An investor complaint against Hilltop Securities advisors Brad Winges (CRD# 1929509) and Steve Coma (CRD# 1414147) alleges eight-figure damages. Financial Industry Regulatory Authority records show that Mr. Winges is a broker in Dallas, Texas, where he is also affiliated with Momentum Independent Network. Mr. Coma, meanwhile, is a broker registered in Charlotte, North Carolina.
