Canton, Texas financial advisor Dale Hester (CRD# 1992112) is under investigation by state securities authorities for allegations of misconduct. Financial...
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Jon Best: Raymond James Advisor Faces Investigation
Henderson, Texas financial advisor Jon Best (CRD# 2225091) allegedly made unauthorized trades, according to an investor complaint and a regulatory investigation. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Raymond James Financial Services, doing business as Best Financial Group.
Ari Olive: Merrill Advisor Receives Misappropriation Complaint
Los Angeles financial advisor Ari Olive (CRD# 6418405) allegedly misappropriated client funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with BBVA Securities.
Patrick Louise: $2 Million Complaint Against Fraser Wealth Advisor
Woodstock, Illinois financial advisor Patrick Louise (CRD# 5810428) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Fraser Wealth Management.
Greg Suzio: Merrill Lynch Advisor Faces 6-Figure Complaint
Auburn Hills, Michigan financial advisor Greg Suzio (CRD# 5309403) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of McGill Suzio Group, a… Read More »
Todd Rustman: $830K Complaint Against Clarity Capital Advisor
Newport Beach, California financial advisor Todd Rustman (CRD# 2453708) recently received an investor complaint alleging that his conduct resulted in damages exceeding $800,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services and an investment advisor with Clarity Capital Partners.
Carlson Law Investigating Sam Jacobs of Key Investment Group
Carlson Law is investigating Sam Jacobs of Key Investment Group located in Winter Park, Florida. Jacobs is a registered representative of LaSalle St. Securities. Carlson Law has been retained by a former client of Jacobs. Upon information and belief, Jacobs made high-risk investments in the client’s account(s), causing substantial losses. Carlson Law represents investors… Read More »
Kelley Slaught: California Wealth Advisor Lands $100K Bond Complaint
A recent investor complaint against Santa Barbara, California financial advisor Kelley Slaught (CRD# 1126586) alleges that she made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Centaurus Financial, doing business as California Wealth Advisors.
John Lord: $140K Complaint Against Dempsey Lord Smith Advisor
Calhoun, Georgia financial advisor John Lord (CRD# 1352023) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Dempsey Lord Smith.
Charles Wareheim: Vaylark Advisor Receives REIT Complaint
Hartford, Connecticut financial advisor Charles Wareheim (CRD# 2193537) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Independent Financial Group, doing business as Vaylark Financial Services.
Brian Dreier: $268K REIT Complaint Against Heartland Financial Advisor
Quincy, Illinois financial advisor Brian Dreier (CRD# 2462344) recently received an investor complaint alleging that he provided misleading advice regarding REIT investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as Heartland Financial Advisors.
