Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Jim Peters: $200K Complaint Against Grace Wealth Management Advisor
Jim Peters (CRD# 2665577), a financial advisor based in Irvine, California, recently received an investor complaint alleging he engaged in misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Grace Wealth Management Group.
Kapolei Advisor Joe Appolito Receives Suitability Complaint
Commonwealth Financial Network advisor Joe Appolito (CRD# 6698) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Kapolei, Hawaii. He was formerly affiliated with firms including Ameriprise Financial Services and United Planners’ Financial Services of America.
Bloomington Advisor John Copenhaver: Suitability Complaint
Edward Jones financial advisor John Copenhaver (CRD# 5516072) recently received an investor complaint alleging more than $500,000 in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Bloomington, Illinois.
Bruce Napier: $435K L Bond Complaint Against Indianapolis Advisor
Ausdal Financial Partners advisor Bruce Napier (CRD# 4555202) recently received an investor complaint regarding an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered in Indianapolis and Greenwood, Indiana.
Jeff Jin: $500K-$1mm Complaint Against The Woodlands Advisor
A recent investor complaint against Merrill Lynch financial advisor Jeff Jin (CRD# 4292519) alleges he recommended unsuitable investments that resulted in damages as high as $1 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in The Woodlands, Texas.
Salina Advisor Chad Koehn: FINRA Investigates Ex-SA Stone Rep
A regulatory investigation into former SA Stone Wealth Management broker Chad Koehn (CRD# 2216169) concluded with a recent determination to bring disciplinary action against him for alleged misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Salina, Kansas advisor is currently registered with United Capital Management of Kansas.
David Barnes: $3.4 Million Complaint Against Dallas UBS Advisor
UBS Financial Services advisor David Barnes (CRD# 2181896) recently received an investor complaint alleging his investment advice resulted in more than $3 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Dallas, Texas.
Griffin Realty Trust, Now Peakstone Realty Trust, Goes Public: Losses
Griffin Realty Trust, the former non-traded REIT now listed on the NYSE as Peakstone Realty Trust, is a complex, risky investment product that may not be suitable for inexperienced retail investors. If your financial advisor represented Griffin Realty Trust as a conservative, short-term and/or liquid investment, you may be entitled to recover damages. What… Read More »
David Lehnertz: $5 Million Complaint Against Morgan Stanley Advisor
Newport Beach financial advisor David Lehnertz (CRD# 2287146) recently received an investor complaint alleging his conduct resulted in millions of dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley. Mr. Lehnertz’s BrokerCheck report discloses two investor complaints. The most recent, filed in… Read More »
Daniel Evans: $10 Million Complaint Against Seattle Advisor
Wells Fargo financial advisor Daniel Evans (CRD# 1573625) recently received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor based in Seattle, Washington. According to his firm’s website, he is a member of Evans Cahill Private Wealth Group.
