NFN8 Group, Inc., an Austin, Texas company that sold investors interests in cryptocurrency-mining equipment and “hosting” arrangements, filed for Chapter...
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Invesco Complaint Against Clovis Advisor Alan Kinlund
Edward Jones financial advisor Alan Kinlund (CRD# 6137536) recently received an investor complaint alleging that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Clovis, New Mexico.
New Haven Advisor Jarrod Slater Receives Investor Complaint
Wells Fargo Clearing Services financial advisor Jarrod Slater (CRD# 4407013) recently received an investor complaint alleging his conduct resulted in damages exceeding $400,000. Financial Industry Regulatory Authority records show that Mr. Slater is currently a broker and an investment advisor based in New Haven, Connecticut.
Ameriprise’s Mandy Woo: Investor Alleges Misconduct
Irvine, California financial advisor Mandy Woo (CRD# 4179009) recently received an investor complaint alleging her conduct resulted in damages of more than $200,000. Financial Industry Regulatory Authority records show that Ms. Woo is a broker and an investment advisor with Ameriprise Financial Services.
New GWG L Bond Complaint Against Willy Miranda, Ausdal Advisor
Oakbrook Terrace, Illinois financial advisor Willy Miranda (CRD# 3273284) recently received an investor complaint alleging that a GWG L bond investment resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ausdal Financial Partners, having previously been registered with Moloney Securities.
UBS Advisor Michael Hamilton: Suitability Complaint
A recent investor complaint against Leawood, Kansas financial advisor Michael Hamilton (CRD# 2263524) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
GWG Complaint Against Tim Scanlon, Scottsdale Advisor
Arque Capital financial advisor Tim Scanlon (CRD# 1968597) recently received an investor complaint alleging that investments in GWG Holdings resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Scottsdale, Arizona.
GWG Investor Files Complaint Against Former NPB Advisor Fred Easter
Sandy, Utah financial advisor Fred Easter (CRD# 74758) recently 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 Independent Financial Group, having formerly been registered with NPB Financial Group.
Complaint: Baltimore Advisor Jeremy Reed Failed to Follow Instructions
UBS Financial Services advisor Jeremy Reed (CRD# 5929998) allegedly failed to follow a customer’s instructions, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Baltimore, Maryland.
New Investor Complaint Against Sun City Advisor Jeffrey McKee
A recent investor complaint against Wells Fargo Clearing Services financial advisor Jeffrey McKee (CRD# 5721657) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Sun City, Brook, Winslow, and Surprise, Arizona.
Cathay Bank Advisor Grace Guo Receives Investor Complaint
Monterey Park, California financial advisor Grace Guo (CRD# 4201624) has received multiple investor complaints, including one that alleges half a million dollars in damages. Financial Industry Regulatory Authority records show that she is a representative of Cathay Bank Wealth Management, which offers securities and advisory services through Cetera Investment Services and Cetera Investment Advisors.
