Winnetka, Illinois financial advisor Pat Gorand (CRD# 5559541) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry...
Read MoreCategory Archives: Uncategorized
Jason Juhl: $98K Complaint Against Carson Wealth Advisor
A recent investor complaint against West Des Moines, Iowa financial advisor Jason Juhl (CRD# 5775449) alleges that his advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cetera Advisor Networks broker is currently registered as an investment advisor with Carson Wealth.
Tim Roberson: Stifel, Ex-Merrill Advisor Lands Complaint
Brentwood, Tennessee financial advisor Tim Roberson (CRD# 2200567) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus, having previously been registered with Merrill Lynch.
Gary Datta: $258K Complaint Against Ex-Edward Jones Advisor
Coppell, Texas financial advisor Gary Datta (CRD# 6060441) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors, having previously been registered with Edward Jones.
Ed Villanyi: $100K Complaint Against Stifel Advisor
Indianapolis, Indiana financial advisor Ed Villanyi (CRD# 2348401) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Merrill Lynch.
Christopher Norton: $99K Complaint Against Ex-Aegis Advisor
A recent investor complaint against Irvine, California financial advisor Christopher Norton (CRD# 5386000) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Boustead Securities and an investment advisor with Sutter Securities, having previously been registered with Aegis Capital.
Doug Zator: Emerson Advisor Lands 6-Figure Complaint
Newport Beach, California financial advisor Doug Zator (CRD# 6321246) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity.
Elijah Goble: $276K Complaint Against Citi Advisor
Costa Mesa, California financial advisor Elijah Goble (CRD# 6760147) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
Jay McPherson: $500K Complaint Against Emerson Equity Advisor
San Mateo, California financial advisor Jay McPherson (CRD# 5918462) has received multiple investor complaints alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Great Point Capital.
Nick Langer: $559K Complaint Against LPL, Ex-JP Morgan Advisor
Wauwatosa, Wisconsin financial advisor Nick Langer (CRD# 5054905) recently received an investor complaint alleging that his conduct resulted in damages of more than $500,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, having previously been registered with JP Morgan Securities.
Mike Jarvis: 800K Complaint Against Cetera Advisor
McKinney, Texas financial advisor Mike Jarvis (CRD# 2160274) allegedly charged excessive fees, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers, doing business as Legacy Financial Advisors.
