Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Kevin McGregor: $5 Million Complaint Against Avantax Advisor
Concord, California financial advisor Kevin McGregor (CRD# 2540872) has received an investor complaint alleging his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a representative of KM Tax & Financial, registered as a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services.
Adam Gurien: Multiple Complaints Against Merrill Lynch Advisor
Palm Beach Gardens financial advisor Adam Gurien (CRD# 2302341) has received several investor complaints alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch.
Michael Whitaker: Newbridge Advisor Has $100K Negligence Complaint
Michael Whitaker (CRD# 6316100), a financial advisor based in The Villages, Florida, allegedly beached his fiduciary duty to a customer, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities Corporation.
Michael Sullum: Oil & Gas Complaint Against Boynton Beach Advisor
Michael Sullum (CRD# 4320124), a registered representative of Lincoln Financial Advisors Corporation, recently received an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boynton Beach, Florida. Mr. Sullum’s BrokerCheck report discloses one investor complaint against him. Filed… Read More »
Brian Horn: Oil & Gas Complaint Against Lincoln Advisor
A recent investor complaint against Hunt Valley, Maryland advisor Brian Horn (CRD# 2823904) details allegations regarding an oil and gas investment. Financial Industry Regulatory Authority records show that he is a representative of Heritage Financial Consultants, registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation.
Derek Ferriera: $150K Oil & Gas Complaint Against Campbell Advisor
Lincoln Financial Services Corporation advisor Derek Ferriera (CRD# 1290274) has received an investor complaint alleging his recommendations resulted in six-figure loses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Campbell, California.
Jennifer Lander: Did Lonestar Advisor Recommend Unsuitable Securities?
Addison, Texas financial advisor Jennifer Lander (CRD# 6321163) allegedly made an unsuitable investment recommendation, according to a recent investor complaint against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Titan Securities, doing business as Lonestar Wealth Advisors.
Sara Ng: GPB Capital Complaint Against Former Axiom Advisor
Former New York City broker and investment advisor Sara Ng (CRD# 2701165) has received an investor complaint alleging she misrepresented an investment in GPB Capital. Financial Industry Regulatory Authority records show that the former Primex, Westpark Capital, and Moloney Securities representative has also recently been based in Oakbrook, Illinois. She is also known as… Read More »
Caryn Alles: $1 Million Complaint Against Portland Advisor
A recent investor complaint against Morgan Stanley advisor Caryn Alles (CRD# 4255618) alleges her investment recommendation resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Portland, Oregon.
Kirk Badii: $3 Million Complaint Against Badii Group Advisor
Southlake, Texas financial advisor Kirk Badii (CRD# 5829768) recently received an investor complaint alleging his advice led to millions of dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Independent Financial Group, doing business as Badii Group Private Wealth Management.
