Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations....
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Eric Weschke: 6-Figure Investor Complaints Against Kalos Rep
Setauket, New York-based broker and investment adviser Eric Weschke (CRD# 2486324) has received several pending investor complaints in recent years, including some alleging six-figure losses. According to records provided by the Financial Industry Regulatory Authority (FINRA) Weschke is currently a registered representative of Kalos Capital. Eric Weschke’s FINRA-maintained BrokerCheck report lists a total of… Read More »
Dan Dillard: Nest Adviser Allegedly Caused $1.5MM Loss
A pending investor complaint against Austin, Texas investment adviser Dan Dillard (CRD# 4289333) alleges losses of $1.5 million. According to Financial Industry Regulatory Authority (FINRA) records, Dillard is currently not registered as a broker, though he was most recently registered with Union Capital Company and SagePoint Financial in Austin, Texas. Records maintained by the… Read More »
Investor Files Complaint Against Ex-Madison Ave Advisor Jeffrey Dixson
Numerous investors have filed complaints alleging that former Vancouver, Washington broker and investment adviser Jeffrey Dixson (CRD# 4166311) recommended unsuitable investments in products including GPB Automotive. According to records provided by the Financial Industry Regulatory Authority (FINRA), Dixson was formerly registered with Madison Avenue Securities. Jeffrey Dixson’s FINRA-maintained BrokerCheck report lists nine pending customer… Read More »
Michael Shillin: SpaceX Complaints Against Ex-Altoona Rep
Investors allege that former Altoona, Wisconsin broker and investment adviser Michael Shillin (CRD# 5927156) engaged in conduct that resulted in losses of $1 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Shillin was formerly registered with Alliance Global Partners. Michael Shillin’s FINRA-maintained BrokerCheck report lists 31 pending customer complaints and… Read More »
Andrew Burish: $23M Losses Alleged in UBS Rep’s Tesla Recs
UBS Financial Services broker and investment adviser Andrew Burish (CRD# 1111163) has received a pending customer complaint alleging he recommended an unsuitable investment strategy that resulted in losses of $23 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Burish is currently registered with UBS’s branch office in Madison, Wisconsin. Andrew… Read More »
Daniel Raupp: Concorde Rep Involved In $1 Million Complaint
A pending investor complaint against Port Jefferson, New York broker Daniel Raupp (CRD# 4079107) alleges his recommendations resulted in losses of $1 million. According to Financial Industry Regulatory Authority (FINRA) records, Raupp is currently registered with Concorde Investment Services. Daniel Raupp’s BrokerCheck report lists a total of six pending customer complaints against him, all… Read More »
Lanny Howarter: $1MM Complaint Against Crown Capital Rep
San Diego, California-based broker and investment adviser Lanny Howarter (CRD# 813591) has received a pending investor complaint alleging losses of $1.12 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Howarter is currently a registered representative of Crown Capital Securities. Lanny Howarter’s FINRA-maintained BrokerCheck report lists a total of six customer… Read More »
Darryl Cohen: $5MM Complaint Against Ex-Westlake Village Rep
Former Morgan Stanley broker and investment adviser Darryl Cohen (CRD# 2786613) has received a pending investor complaint alleging his investment recommendations led to $5 million in losses. According to Financial Industry Regulatory Authority (FINRA) records, Cohen was most recently registered with the firm’s branch office in Westlake Village, California. Darryl Cohen’s FINRA-maintained BrokerCheck report… Read More »
John Nguyen: 7-Figure Complaint Against Crown Capital Rep
Placentia, California-based broker and investment adviser John Nguyen (CRD# 4919629) has received a pending investor complaint alleging losses of $1 million to $5 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Nguyen is currently a registered representative of Crown Capital Securities. John Nguyen’s FINRA-maintained BrokerCheck report lists a single pending… Read More »
Jason Tarver: $5 Million Complaint Against Merrill Lynch Rep
Frisco, Texas-based broker and investment adviser Jason Tarver (CRD#: 2569913) has received a pending customer complaint alleging that he caused $5 million in damages for the investor. According to records provided by the Financial Industry Regulatory Authority (FINRA), Tarver is currently a representative of Merrill Lynch. Jason Tarver’s BrokerCheck report lists one pending customer… Read More »
