Costa Mesa, California financial advisor Matthew Fetui (CRD# 5511717) recently received an investor complaint alleging that his advice resulted in...
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Joseph Roop: Investor Complaints Against Ex-Kalos Advisor
Coppell Advisory Services advisor Joseph Roop (CRD# 2774470) has received multiple investor complaints as well as a regulatory enforcement action alleging he engaged in misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Belmont, North Carolina representative was previously a broker with Dempsey Lord Smith and Kalos Capital.
Eric Duncan: $1.3 Million Complaint Against Team Duncan Advisor
Denver financial advisor Eric Duncan (CRD# 4168496) recently received an investor complaint alleging that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as Team Duncan Financial.
James Schrack: GWG L Bond Complaint Against Schrack Financial Advisor
Spokane Valley financial advisor James Schrack (CRD# 2620270) recently received an investor complaint alleging he made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that he is a broker with Schrack Financial Services Group, which offers securities through Center Street Securities.
Investment Planners’ Christopher McKenzie: $499K Oil & Gas Complaint
Quincy, Illinois financial advisor Christopher McKenzie (CRD# 4164821) recently received an investor complaint alleging nearly half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Investment Planners and IPI Wealth Management, respectively.
Michael Mandarino: GWG Complaint Against Apollo Beach Advisor
Michael Mandarino (CRD# 4443175), a broker and an investment advisor with G.A. Repple & Company, has received an investor complaint concerning GWG L bonds. Financial Industry Regulatory Authority records show that the financial advisor is based in Apollo Beach, Florida.
Brian Lee: Oil & Gas Complaint Against Lee Wealth Management Advisor
Fort Worth, Texas financial advisor Brian Lee (CRD# 2950037) recently received an investor complaint alleging his investment advice resulted in high commissions and fees. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Lee Wealth Management Group, and that he resigned from… Read More »
Toddy & Associates’ Jim Toddy: $231K GWG L Bond Complaint
Scottsdale, Arizona financial advisor Jim Toddy (CRD# 2636687) allegedly recommended an unsuitable investment, according to an investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Center Street Securities, doing business as Toddy & Associates.
Pittsburgh Financial Group Advisor Andrew Pravlik: $300K Complaint
Pittsburgh financial advisor Andrew Pravlik (CRD# 2360456) 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 an investment advisor with World Capital Brokerage, doing business as Pittsburgh Financial Group.
Gary Ginsberg: Complaints Against Former Royal Alliance Advisor
Gary Ginsberg (CRD# 1175258), a financial advisor based in West Orange, New Jersey, has received investor complaints alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Royal Alliance Associates.
Rodger Sprouse: Titan Advisor Has Future Income Payments Complaints
Lee’s Summit, Missouri financial advisor Rodger Sprouse (CRD# 5483578) has received multiple investor complaints, several of which relate to investments in Future Income Payments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Titan Securities, doing business as Sprouse Financial Group.
