A recent investor complaint against Bradenton, Florida financial advisor Bill Morris (CRD# 1793507) alleged that he caused damages by recommending...
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GPB Complaint Against Las Vegas Advisor Kyle Kirwan
Las Vegas and Henderson broker and investment advisor Kyle Kirwan (CRD# 5088691) recently received an investor complaint alleging six-figure damages relating to an investment in GPB Holdings. Financial Industry Regulatory Authority records show that he is a representative of Cornerstone Wealth Management, offering securities through Independent Financial Group.
Brett Emmeluth: $100K Complaint Against Castle Pines LPL Advisor
LPL Financial representative Brett Emmeluth (CRD# 4707323) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is based in Castle Pines, Colorado and has previously received an investor complaint that reached settlement.
Arkadios Advisor Mark Thompson Has $1 Million Investor Complaint
A pending investor complaint against Atlanta broker and investment advisor Mark Thompson (CRD# 4632270) alleges at least $1 million in damages. Financial Industry Regulatory Authority records show that he is a broker at Arkadios Capital and an investment advisor at EPG Wealth Management, formerly registered at Triad Advisors.
Atlanta Advisor Jeffrey Shaver Has $1 Million Pending Complaint
Atlanta investment advisor Jeffrey Shaver (CRD# 2675592) has received an investor complaint alleging seven-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arkadios Capital broker is no longer registered as a broker, though he is an investment advisor at ACG Wealth.
John Mateyko: $500K REIT Complaint Against IDEX Advisor
An investor complaint against Rolling Meadows, Illinois broker and investment advisor John Mateyko (CRD# 3275621) alleges half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a representative of IDEX Financial Group, offering securities through Peachcap Securities.
Cristina Briboneria: Investor Complaint Against Atlanta Advisor
Atlanta broker and investment advisor Cristina Briboneria (CRD# 4961280) has received an investor complaint regarding a Syndicated Conservation Easement Strategy investment. Financial Industry Regulatory Authority records show that she is a representative of oXYGen Financial, which offers securities through Kestra Investment Services.
Jason Vanclef: $100K-$500K Complaint Against Los Angeles Advisor
Vanclef Financial Group’s Jason Vanclef (CRD# 5096529) allegedly made investment recommendations that led to six-figure losses, according to a pending investor complaint. Financial Industry Regulatory Authority records show that the Los Angeles-based representative offers securities through American Trust Investment Services and has been the subject of a FINRA investigation.
Darcy Wolfe: New Investor Complaint Against Edward Jones Advisor
A pending investor complaint against Carlsbad, California stockbroker Darcy Wolfe (CRD# 6285149) alleges that her recommendations resulted in losses. Financial Industry Regulatory Authority records show that Ms. Wolfe, also known as Darcy Irwin, is a representative of Edward Jones.
Carlson Law Wins Punitive Damages Against Joseph Gunnar & Co.
Last week, a FINRA arbitration Panel in New York awarded a Carlson Law client compensatory damages and more than $100,000 in punitive damages against Joseph Gunnar & Co., a FINRA-registered broker-dealer. The client’s former financial advisor was Anthony Sica, who is based in New York City. The Claimant, a woman in her 60s, alleged… Read More »
Edward Yoon: 6-Figure Complaints Against Pasadena Advisor
First Allied Securities representative Edward Yoon (CRD# 2408137) allegedly recommended unsuitable investments that led to losses, according to pending investor complaints. Financial Industry Regulatory Authority records show that he is affiliated with the firm’s offices in Pasadena, Rancho Cucamonga, and Torrance, California.
