Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Richard Eden: $500K Energy 11 Complaint Against David Lerner Advisor
A recent investor complaint against Lawrenceville, New Jersey financial advisor Richard Eden (CRD# 2145727) alleges his investment advice resulted in damages of half a million dollars. Financial Industry Regulatory Authority records show that he is a broker registered with David Lerner Associates.
Jay Parrish: $3mm Complaint Against JLP Investments Advisor
An investor complaint against Jacksonville financial advisor Jay Parrish (CRD# 4951494) alleges that his investment advice resulted in $3 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, doing business as JLP Investments.
Chris Browning: $990K Complaint Against Masters Advisory Broker
Westlake Village financial advisor Chris Browning (CRD# 4786391) recently received an investor complaint alleging nearly one million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities, doing business as Masters Advisory Partners.
Rob Melberth: $3 Million Complaint Against Melberth Capital Advisor
Recent investor complaints against Sarasota financial advisor Rob Melberth (CRD# 4775230) allege that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity and an investment advisor with Melberth Capital, doing business as Melberth Enterprises.
Michael Fasciglione: Aegis Advisor Has REIT Complaints
Garden City financial advisor Michael Fasciglione (CRD# 1806486) has received numerous investor complaints alleging he recommended unsuitable investments, including real estate investment trusts. Financial Industry Regulatory Authority records show that he is a broker with Aegis Capital, having previously been registered with National Securities Corporation.
Bill Lapiana: 6-Figure Complaints Against Paxton Financial Advisor
Recent investor complaints against New York City financial advisor Bill Lapiana (CRD# 4580411) allege that his investment recommendations led to substantial losses. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities, doing business as Paxton Financial Services.
FINRA Censures Axiom Capital Management: True Pharmastrip Fraud
A recent Financial Industry Regulatory Authority enforcement action against New York City broker-dealer firm Axiom Capital Management (CRD# 26580) alleges that the firm failed to conduct reasonable ongoing diligence into a private placement offering. FINRA records show that Axiom operates four branches with a total of 30 registered representatives.
FINRA Bars Westport Advisor Jeffrey Basford: Energy Investments
Former David Lerner Associates financial advisor Jeffrey Basford (CRD# 5077566) has been barred by securities regulators in connection to allegedly unsuitable trading. Financial Industry Regulatory Authority records show that the former Westport, Connecticut broker has also received multiple recent investor complaints, one of which reached a settlement of more than $200,000.
Mark Horstmann: Wealth Management Group Advisor Has $100K Complaint
Gladstone, Missouri financial advisor Mark Horstmann (CRD# 4079505) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Cambridge Investment Research, doing business as Wealth Management Group of KC.
Robert Nevarez: Investor Complaint Against Nevarez Wealth Advisor
Irvine, California financial advisor Robert Nevarez (CRD# 4039930) allegedly recommended an unsuitable investment, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, doing business as Nevarez Wealth Management.
