Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Phil Donahue: Panama City Beach Advisor Suspended by FINRA
PFS Investments financial advisor Phil Donahue (CRD# 1206346) allegedly made unsuitable mutual fund recommendations to his customers, according to a recent regulatory sanction against him. Financial Industry Regulatory Authority records show that the Panama City Beach, Florida broker and investment advisor was issued a suspension from associating with any FINRA member firm.
John Crigler: $100K L Bond Complaint Against JRL Capital Advisor
Irvine, California financial advisor John Crigler (CRD# 1014977) recently received an investor complaint alleging his recommendation to invest in GWG L bonds resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JRL Capital Corporation.
Jerry O’Halloran: $100K Complaint Against Daedalian Financial Advisor
Punta Gorda financial advisor Jerry O’Halloran (CRD# 1056697) has received multiple investor complaints alleging he recommended unsuitable investments and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with Union Capital Company, doing business as Daedalian Financial Services.
Dave Stuckey: Carrboro Royal Alliance Advisor Had REIT Complaint
Royal Alliance Associates financial advisor Dave Stuckey (CRD# 1372887) recently received an investor complaint relating alleging he sold unsuitable REIT and BDC products. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Carrboro, North Carolina.
James Williams: $150K Complaint Against Boca Raton Advisor
Newbridge Securities Corporation financial advisor James Williams (CRD# 1631008) has received investor complaints alleging unsuitable sales, unauthorized transactions, and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker based in Boca Raton, Florida.
Andy Galy: $75K Complaint Against New Orleans Private Wealth Advisor
Metairie, Louisiana financial advisor Andy Galy (CRD# 1915564) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as New Orleans Private Wealth Management.
Chadwick Watson: Oil & Gas Complaint Against Charter Financial Advisor
Annapolis financial advisor Chadwick Watson (CRD# 2183286) has received investor complaints alleging unsuitable sales and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Lincoln Financial Advisors Corporation. He is a representative of Charter Financial Group.
Kevin McGrady: Oil & Gas Complaint Against Cranston Advisor
LPL Financial advisor Kevin McGrady (CRD# 2186164) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Cranston, Rhode Island, doing business as Integrated Wealth Concepts.
Thomas Craft: Ex-Lincoln Financial Advisor Has Oil & Gas Complaint
Former Lincoln Financial Advisors Corporation financial advisor Thomas Craft (CRD# 2355883) recently received an investor complaint relating to an oil and gas investment. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently an investment advisor with Gateway Asset Management in Independence, Ohio. Mr. Craft’s BrokerCheck report discloses one… Read More »
Jordan Hayes: Los Angeles Advisor Listed in Options Overlay Complaint
UBS financial advisor Jordan Hayes (CRD# 2391254) is involved in an investor complaint alleging that misconduct relating to an options overlay strategy resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Los Angeles, California.
