Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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FINRA Suspends Newbridge, Ex-Kalos Advisor Chris Shaw
Belmont, North Carolina financial advisor Chris Shaw (CRD# 5011382) was recently sanctioned by securities industry regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records show that Mr. Shaw is a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services. He was previously registered with Pruco Securities and… Read More »
Kalos Advisor Michael Haffling: Suitability Complaints
Orland Park, Illinois financial advisor Michael Haffling (CRD# 5133150) has received numerous investor complaints that reached settlements in recent years. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Kalos Capital and Kalos Management.
Eric Nicolassy $103K Complaint Against Sanctioned Red Bank Advisor
Network 1 Financial Securities broker Eric Nicolassy (CRD# 6244539) excessively and unsuitably traded a senior customer’s account, according to a recent enforcement action against him. Financial Industry Regulatory Authority records show that the Red Bank, New Jersey representative has been suspended by FINRA until August 17, 2022.
Greg Melendez: Did Laidlaw Advisor Sell Unsuitable Investments?
Recent investor complaints against Melville, New York financial advisor Greg Melendez (CRD# 4920698) allege that he engaged in excessive trading in customer accounts. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Laidlaw & Company and Laidlaw Wealth Management.
Jack Hebner: $150K Investor Complaint Against Sentinel Advisor
Hayden, Idaho financial advisor Jack Hebner (CRD# 3258824) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Moloney Securities, doing business as Sentinel Wealth Management.
Peter Goffin: Newbridge Advisor Faces $91K GWG Complaint
Boca Raton financial advisor Peter Goffin (CRD# 1617710) recently received an investor complaint alleging that a GWG investment recommendation resulted in damages. Financial Industry Regulatory Authority records show that he is a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group.
Alan Appelbaum: SEC Files Charges Against Boca Raton Advisor
Former Aegis Capital financial advisor Alan Appelbaum (CRD# 500336) allegedly recommended unsuitable structured products to his customers, according to Securities and Exchange Commission charges. Financial Industry Regulatory Authority and SEC records show that the former Boca Raton broker has received multiple customer complaints and that the SEC is seeking a jury trial against him.
Paul Gallivan: SEC Fines Boca Raton Advisor Over Structured Products
The Securities and Exchange Commission recently sanctioned former Aegis Capital broker Paul Gallivan (CRD# 5793918). According to Financial Industry Regulatory Authority records, the former Boca Raton financial advisor misrepresented and sold unsuitable investments in “highly complex, variable interest rate structured products.” He has been suspended from associating with any broker, dealer, or investment advisor… Read More »
Brad Hansen: $160K Complaint Against Southern Cross Advisor
Salem, Ohio financial advisor Brad Hansen (CRD# 5872439) has received an investor complaint alleging his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Southern Cross Wealth Management.
John Bussa: Southfield Advisor Has Oil & Gas Complaint
Lincoln Financial Advisors Corporation representative John Bussa (CRD# 4418922) has received multiple investor complaints alleging his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Southfield, Michigan.
