Pasadena, California financial advisor Aaron Liu (CRD# 6085987) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry...
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Bill Morrison: $100K-$500K Complaint Against B. Riley Advisor
A recent investor complaint against Oakbrook Terrace, Illinois financial advisor Bill Morrison (CRD# 1556786) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management and an investment advisor with B. Riley Wealth Advisors.
Steven Tann: $1mm Complaint Against Wells Fargo Advisor
Los Angeles financial advisor Steven Tann (CRD# 1589757) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo, having previously been registered with JP Morgan Securities.
Michael Minter: Mintco Advisor Lands $300K Complaint
Tampa, Florida financial advisor Michael Minter (CRD# 2989575) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LifeMark Securities, doing business as Mintco Financial.
Stephen Parks: $1mm-$5mm Complaint Against Skystone Advisor
A recent investor complaint against Dallas, Texas financial advisor Stephen Parks (CRD# 5074732) alleges that he recommended unsuitable alternative investments, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Skystone Securities.
James Lang: FINRA Recommends Action Against Lang Wealth Advisor
Westlake Village, California financial advisor James Lang (CRD# 2959057) allegedly improperly used an investor’s funds, according to a regulatory investigation into his conduct. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Lang Wealth Management.
Justin Cappadona: Raymond James Denies $1mm Complaint Against Advisor
A recent, denied investor complaint against McAllen, Texas financial advisor Justin Cappadona (CRD# 2775857) alleged that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Sam Su: Ameriprise Advisor Faces $50 Million Complaint
San Francisco, California financial advisor Sam Su (CRD# 4232029) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Brian Court: FINRA Suspends Ex-Aegis Advisor
Former Melville, New York financial advisor Brian Court (CRD# 2591547) has been sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Aegis Capital and that he has received several investor complaints.
David Lerner Associates Sanctioned over Energy LPs
Representatives of broker-dealer firm David Lerner Associates (CRD# 5397) allegedly recommended unsuitable limited partnership investments to hundreds of customers, according to a recent sanction by the Financial Industry Regulatory Authority. The firm, headquartered in Syosset, New York, has been censured and suspended from engaging in the sale of proprietary, illiquid products.
Max Tulupnikoff: David Lerner Advisor Fined over Energy LPs
Westport, Connecticut financial advisor Max Tulupnikoff (CRD# 6188857) was recently sanctioned and suspended in connection with the allegedly unsuitable sales of energy limited partnerships. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates and an investment advisor with Spirit of America Management Corporation.
